Paulson Larry

SEC source: 0001828536-26-000073 · wk-form4_1780346552.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 523,794

F1 · shares: Reflects an award of restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs vest (subject to the reporting person's continued service on the Board) on June 1, 2027.

SEC source: 0001509559-26-000002 · wk-form4_1772468346.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 501,768

F1 · price: The shares are purchased in one transaction at a price given in Column 4.

SEC source: 0001509559-25-000004 · wk-form4_1758205788.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,636

F1 · shares: The shares are purchased in one transaction at a price given in Column 4.

SEC source: 0001509559-25-000006 · wk-form4_1758227051.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 496,768

F1 · shares: Reflects an award of restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs vest (subject to the reporting person's continued service on the Board) after the first anniversary of the Vesting Commencement Date - May 30, 2025.

SEC source: 0001828536-25-000125 · wk-form4_1756395727.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,636

F1 · acquired: The shares are purchased in one transaction at a price given in Column 4.

SEC source: 0001828536-25-000113 · wk-form4_1755112209.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,636

F1 · kind: The shares are purchased in one transaction at a price given in Column 4.

SEC source: 0001828536-24-000110 · wk-form4_1717013845.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,636

F1 · shares: Reflects an award of restricted stock units ("RSUs"), which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs vest (subject to the Reporting Person's continued service to the Board) on the earlier of (i) the date of the next Annual Meeting occurring after the date of grant or (ii) May 24, 2025.

F2 · balance_after: Includes 44,804 shares of Common Stock acquired in a pro rata distribution in-kind, the acquisition of which was exempt pursuant to Rule 16a-9.

SEC source: 0001828536-23-000093 · wf-form4_168548069172370.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151,495

F1 · shares: Reflects an award of restricted stock units ("RSUs"), which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs vest (subject to the Reporting Person's continued service to the Board) on the earlier of (i) the date of the next Annual Meeting occurring after the date of grant or (ii) May 25, 2024.

SEC source: 0001104659-23-018740 · tm236389-3_4seq1.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,642

F1 · shares: Reflects an award of restricted stock units ("RSUs"), which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs vest (subject to the Reporting Person's continued service to the Company or its subsidiaries through the applicable vesting date) in three equal annual installments, such that the RSUs will be fully vested on October 31, 2025.

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

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,126

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

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

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 534,256 shares

Expires not disclosed

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

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

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

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

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

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

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

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 534,256

Underlying: Class A Common Stock · 431,890 shares

Expires not disclosed

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

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

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

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

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

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

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 609,256

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

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

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

SEC source: 0001104659-22-020664 · tm226292-2_4seq1.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 75,000

F1 · shares: Represents 75,000 shares of Class A common stock purchased from the issuer in a private placement transaction for $10.00 per share. In connection with the issuer's business combination with Energy Vault, Inc., the issuer changed its name to Energy Vault Holdings, Inc.

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

SEC source: 0001104659-21-014074 · tm212024-20_4seq1.xml · derivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 556,500

Underlying: Class A Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Each warrant will become exercisable 30 days after the completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F1 · derivative.exercise_date: Each warrant will become exercisable 30 days after the completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F1 · derivative.expiration_date: Each warrant will become exercisable 30 days after the completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F1 · derivative.underlying_shares: Each warrant will become exercisable 30 days after the completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

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

SEC source: 0001104659-21-010208 · tm214656d4_4.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 337,380

F1 · shares: Represents 100,000 shares of common stock purchased from Novus Capital Corporation in a private placement transaction for $10.00 per share. In connection with the business combination between AppHarvest, Inc. and Novus Capital Corporation, the issuer changed its name to AppHarvest, Inc.

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