Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| KLDiscovery Inc.KLDI · Entity 138111 | Director · 10% owner | December 19, 2019 | December 23, 2019 |
| Pivotal Investment Corp IIIPICC · Entity 110751 | Director · Chief Executive Officer · 10% owner | August 07, 2023 | August 08, 2023 |
| SPRUCE POWER HOLDING CORPSPRU · Entity 7389 | Director | August 12, 2024 | March 21, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
KLDiscovery Inc.
Report date December 19, 2019 · Filed December 23, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Pivotal Acquisition Holdings LLC | 5,070,608 |
Reported balance
After 2019-12-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-12-19 · Conversion · Acquired 5,070,608 · Balance 5,070,608 F1: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F7: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy MGG Investment Group LP | 250,000 |
Reported balance
After 2019-12-19 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-12-19 · Grant · Acquired 250,000 · Balance 250,000 F3: The shares of Common Stock were issued pursuant to a debenture committment entered into between an affiliate of the holder and the Issuer. F8: MGG Investment Group LP is the investment advisor to certain investment funds and/or accounts ("MGG Funds") that hold the debentures reported herein. Kevin Griffin is the Chief Executive Officer of MGG Investment Group LP. Mr. Griffin disclaims beneficial ownership of the securities held by the MGG Funds, except to the extent of his pecuniary interest therein. |
| Class B common stockSEC Table II · derivative / convertible security | IndirectBy Pivotal Acquisition Holdings LLC | 5,320,608 |
Reported balance
After 2019-12-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-12-19 · Disposition to issuer · Disposed 479,392 · Balance 5,320,608 F1: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F2: The reporting person forfeited these securities to the Issuer for no consideration. F7: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein. |
| Class B common stockSEC Table II · derivative / convertible security | IndirectBy Pivotal Acquisition Holdings LLC | 0 |
Reported balance
After 2019-12-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-12-19 · Conversion · Disposed 5,070,608 · Balance 0 F1: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F7: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy Pivotal Acquisition Holdings LLC | 4,585,281 |
Reported balance
After 2019-12-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-12-19 · Disposition to issuer · Disposed 1,764,719 · Balance 4,585,281 F2: The reporting person forfeited these securities to the Issuer for no consideration. F4: The warrants will become exercisable 30 days after the completion of the Issuer's initial business combination. F5: The warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination. F7: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein. |
| 8.00% Convertible Debenture Due December 19, 2024SEC Table II · derivative / convertible security · Conversion / exercise price $18.00 · Expires 2024-12-19 | IndirectBy MGG Investment Group LP | Not disclosed |
Reported balance
After 2019-12-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-12-19 · Grant · Acquired Not disclosed · Balance Not disclosed F6: The holder of the debentures may, at its option, require the Issuer to convert all (and not less than all) of the then-outstanding principal amount (including any interest paid in kind) of the debentures (and any or all accrued and unpaid interest thereon and all other amounts owing to the holder under the debentures, subject to certain exceptions). Accordingly, the princinpal amount of debentures owned by the holder and the number of shares of common stock issuable upon conversion of the debentures may increase from time to time. F8: MGG Investment Group LP is the investment advisor to certain investment funds and/or accounts ("MGG Funds") that hold the debentures reported herein. Kevin Griffin is the Chief Executive Officer of MGG Investment Group LP. Mr. Griffin disclaims beneficial ownership of the securities held by the MGG Funds, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc.
F2: The reporting person forfeited these securities to the Issuer for no consideration.
F3: The shares of Common Stock were issued pursuant to a debenture committment entered into between an affiliate of the holder and the Issuer.
F4: The warrants will become exercisable 30 days after the completion of the Issuer's initial business combination.
F5: The warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination.
F6: The holder of the debentures may, at its option, require the Issuer to convert all (and not less than all) of the then-outstanding principal amount (including any interest paid in kind) of the debentures (and any or all accrued and unpaid interest thereon and all other amounts owing to the holder under the debentures, subject to certain exceptions). Accordingly, the princinpal amount of debentures owned by the holder and the number of shares of common stock issuable upon conversion of the debentures may increase from time to time.
F7: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein.
F8: MGG Investment Group LP is the investment advisor to certain investment funds and/or accounts ("MGG Funds") that hold the debentures reported herein. Kevin Griffin is the Chief Executive Officer of MGG Investment Group LP. Mr. Griffin disclaims beneficial ownership of the securities held by the MGG Funds, except to the extent of his pecuniary interest therein.
Pivotal Investment Corp III
Report date August 07, 2023 · Filed August 08, 2023
Jointly reported with Pivotal Investment Holdings III LLC, LEDECKY JONATHAN J
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 60,000 |
Reported balance
After 2023-08-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-08-07 · Other · Acquired 60,000 · Balance 60,000 F1: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F2: These shares of Class B Common Stock of the Issuer (the "Shares") were transferred to Pivotal Investment Holdings III LLC (the "Sponsor"), the sponsor of the Issuer, for the same aggregate purchase price originally paid for such Shares, in connection with an agreement between the Sponsor and the transferor. The Sponsor had initially transferred the Shares to the transferor prior to the Issuer's initial public offering. F3: These shares are owned directly by Sponsor, a ten percent owner of the issuer, and indirectly by its managing members, Ironbound Partners Fund, LLC and Pivotal Spac Funding III LLC. Ironbound Partners Fund, LLC is an affiliate of Jonathan Ledecky, the Issuer's Chairman. Pivotal Spac Funding III LLC is an affiliate of MGG Investment Group, LP, whose Chief Executive Officer is Kevin Griffin, the Chief Executive Officer and a director of the Issuer. Each of Mr. Ledecky, Ironbound Partners Fund, LLC, Pivotal Spac Funding III LLC, MGG Investment Group, LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Investment Holdings III LLC, except to the extent of his or its pecuniary interest therein. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 120,000 |
Reported balance
After 2023-08-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-08-07 · Other · Acquired 60,000 · Balance 120,000 F1: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F2: These shares of Class B Common Stock of the Issuer (the "Shares") were transferred to Pivotal Investment Holdings III LLC (the "Sponsor"), the sponsor of the Issuer, for the same aggregate purchase price originally paid for such Shares, in connection with an agreement between the Sponsor and the transferor. The Sponsor had initially transferred the Shares to the transferor prior to the Issuer's initial public offering. F3: These shares are owned directly by Sponsor, a ten percent owner of the issuer, and indirectly by its managing members, Ironbound Partners Fund, LLC and Pivotal Spac Funding III LLC. Ironbound Partners Fund, LLC is an affiliate of Jonathan Ledecky, the Issuer's Chairman. Pivotal Spac Funding III LLC is an affiliate of MGG Investment Group, LP, whose Chief Executive Officer is Kevin Griffin, the Chief Executive Officer and a director of the Issuer. Each of Mr. Ledecky, Ironbound Partners Fund, LLC, Pivotal Spac Funding III LLC, MGG Investment Group, LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Investment Holdings III LLC, except to the extent of his or its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date.
F2: These shares of Class B Common Stock of the Issuer (the "Shares") were transferred to Pivotal Investment Holdings III LLC (the "Sponsor"), the sponsor of the Issuer, for the same aggregate purchase price originally paid for such Shares, in connection with an agreement between the Sponsor and the transferor. The Sponsor had initially transferred the Shares to the transferor prior to the Issuer's initial public offering.
F3: These shares are owned directly by Sponsor, a ten percent owner of the issuer, and indirectly by its managing members, Ironbound Partners Fund, LLC and Pivotal Spac Funding III LLC. Ironbound Partners Fund, LLC is an affiliate of Jonathan Ledecky, the Issuer's Chairman. Pivotal Spac Funding III LLC is an affiliate of MGG Investment Group, LP, whose Chief Executive Officer is Kevin Griffin, the Chief Executive Officer and a director of the Issuer. Each of Mr. Ledecky, Ironbound Partners Fund, LLC, Pivotal Spac Funding III LLC, MGG Investment Group, LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Investment Holdings III LLC, except to the extent of his or its pecuniary interest therein.
SPRUCE POWER HOLDING CORP
Report date August 12, 2024 · Filed March 21, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 54,662 |
Reported balance
After 2024-08-12 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-08-12 · Grant · Acquired 54,662 · Balance 54,662 F1: The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting date, the RSUs will vest in full on August 12, 2025. F2: Amount shown reflects the amount of securities beneficially owned by the reporting person as of the date this Form 4 is filed. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 487,218 |
Reported balance
Holding disclosure · report date 2024-08-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 487,218 F3: Includes shares of common stock managed by MGG Investment Group, LP ("MGG"), that allocates to various held funds of which the reporting person is the Chief Executive Officer and Chief Investment Officer. Notwithstanding his dispositive and voting control over such shares, Mr. Griffin disclaims beneficial ownership of the shares of common stock and warrants held by MGG, except to the extent of his proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting date, the RSUs will vest in full on August 12, 2025.
F2: Amount shown reflects the amount of securities beneficially owned by the reporting person as of the date this Form 4 is filed.
F3: Includes shares of common stock managed by MGG Investment Group, LP ("MGG"), that allocates to various held funds of which the reporting person is the Chief Executive Officer and Chief Investment Officer. Notwithstanding his dispositive and voting control over such shares, Mr. Griffin disclaims beneficial ownership of the shares of common stock and warrants held by MGG, except to the extent of his proportionate pecuniary interest therein.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 27, 2024 Filed Dec 2, 2024 19:14 UTC | SPRUCE POWER HOLDING CORP SPRU · Entity 7389 | PurchaseCommon Stock | 10,000 | $2.37 | $23,653.00 |
DisclosureSEC source: 0001213900-24-104724 · ownership.xml · nonDerivative · entry 1 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 448,125 F1 · balance_after: Effective on October 6, 2023, the issuer effected a 1 to 8 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. F2 · ownership.nature: Includes shares of common stock managed by MGG Investment Group, LP ("MGG"), that allocates to various held funds of which the reporting person is the Chief Executive Officer and Chief Investment Officer. Notwithstanding his dispositive and voting control over such shares, Mr. Griffin disclaims beneficial ownership of the shares of common stock and warrants held by MGG, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| August 12, 2024 Filed Mar 21, 2025 19:25 UTC | SPRUCE POWER HOLDING CORP SPRU · Entity 7389 | GrantCommon Stock | 54,662 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-006090 · form4.xml · nonDerivative · entry 1 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,662 F1 · shares: The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting date, the RSUs will vest in full on August 12, 2025. F2 · balance_after: Amount shown reflects the amount of securities beneficially owned by the reporting person as of the date this Form 4 is filed. Read SEC document |
| August 07, 2023 Filed Aug 8, 2023 16:23 UTC | Pivotal Investment Corp III PICC · Entity 110751 | OtherClass B Common Stock · Derivative | 60,000 | $0.00 Strike: $0.00 | $150.00 |
DisclosureSEC source: 0001062993-23-016013 · form4.xml · derivative · entry 2 Pivotal Investment Holdings III LLC · CIK 0001842422 · 10% owner LEDECKY JONATHAN J · CIK 0001008382 · Director · 10% owner Griffin Kevin · CIK 0001766124 · Director · Chief Executive Officer · 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: 120,000 Underlying: Class A Common Stock · 60,000 shares Expires not disclosed F1 · derivative.exercise_price: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F2 · kind: These shares of Class B Common Stock of the Issuer (the "Shares") were transferred to Pivotal Investment Holdings III LLC (the "Sponsor"), the sponsor of the Issuer, for the same aggregate purchase price originally paid for such Shares, in connection with an agreement between the Sponsor and the transferor. The Sponsor had initially transferred the Shares to the transferor prior to the Issuer's initial public offering. F2 · price: These shares of Class B Common Stock of the Issuer (the "Shares") were transferred to Pivotal Investment Holdings III LLC (the "Sponsor"), the sponsor of the Issuer, for the same aggregate purchase price originally paid for such Shares, in connection with an agreement between the Sponsor and the transferor. The Sponsor had initially transferred the Shares to the transferor prior to the Issuer's initial public offering. F1 · derivative.exercise_date: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F1 · derivative.expiration_date: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F3 · ownership.direct: These shares are owned directly by Sponsor, a ten percent owner of the issuer, and indirectly by its managing members, Ironbound Partners Fund, LLC and Pivotal Spac Funding III LLC. Ironbound Partners Fund, LLC is an affiliate of Jonathan Ledecky, the Issuer's Chairman. Pivotal Spac Funding III LLC is an affiliate of MGG Investment Group, LP, whose Chief Executive Officer is Kevin Griffin, the Chief Executive Officer and a director of the Issuer. Each of Mr. Ledecky, Ironbound Partners Fund, LLC, Pivotal Spac Funding III LLC, MGG Investment Group, LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Investment Holdings III LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
| August 07, 2023 Filed Aug 8, 2023 16:23 UTC | Pivotal Investment Corp III PICC · Entity 110751 | OtherClass B Common Stock · Derivative | 60,000 | $0.00 Strike: $0.00 | $150.00 |
DisclosureSEC source: 0001062993-23-016013 · form4.xml · derivative · entry 1 Pivotal Investment Holdings III LLC · CIK 0001842422 · 10% owner LEDECKY JONATHAN J · CIK 0001008382 · Director · 10% owner Griffin Kevin · CIK 0001766124 · Director · Chief Executive Officer · 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: 60,000 Underlying: Class A Common Stock · 60,000 shares Expires not disclosed F1 · derivative.exercise_price: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F2 · kind: These shares of Class B Common Stock of the Issuer (the "Shares") were transferred to Pivotal Investment Holdings III LLC (the "Sponsor"), the sponsor of the Issuer, for the same aggregate purchase price originally paid for such Shares, in connection with an agreement between the Sponsor and the transferor. The Sponsor had initially transferred the Shares to the transferor prior to the Issuer's initial public offering. F2 · price: These shares of Class B Common Stock of the Issuer (the "Shares") were transferred to Pivotal Investment Holdings III LLC (the "Sponsor"), the sponsor of the Issuer, for the same aggregate purchase price originally paid for such Shares, in connection with an agreement between the Sponsor and the transferor. The Sponsor had initially transferred the Shares to the transferor prior to the Issuer's initial public offering. F1 · derivative.exercise_date: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F1 · derivative.expiration_date: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F3 · ownership.direct: These shares are owned directly by Sponsor, a ten percent owner of the issuer, and indirectly by its managing members, Ironbound Partners Fund, LLC and Pivotal Spac Funding III LLC. Ironbound Partners Fund, LLC is an affiliate of Jonathan Ledecky, the Issuer's Chairman. Pivotal Spac Funding III LLC is an affiliate of MGG Investment Group, LP, whose Chief Executive Officer is Kevin Griffin, the Chief Executive Officer and a director of the Issuer. Each of Mr. Ledecky, Ironbound Partners Fund, LLC, Pivotal Spac Funding III LLC, MGG Investment Group, LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Investment Holdings III LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
| May 25, 2023 Filed May 30, 2023 14:59 UTC | SPRUCE POWER HOLDING CORP SPRU · Entity 7389 | GrantCommon Stock | 202,812 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-043930 · ownership.xml · nonDerivative · entry 1 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 312,804 F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 25, 2024. Read SEC document |
| December 30, 2022 Filed Jan 3, 2023 16:50 UTC | Pivotal Investment Corp III PICC · Entity 110751 | ConversionClass B Common Stock · Derivative | 6,540,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-000066 · form4.xml · derivative · entry 2 Pivotal Investment Holdings III LLC · CIK 0001842422 · 10% owner LEDECKY JONATHAN J · CIK 0001008382 · Director · 10% owner Griffin Kevin · CIK 0001766124 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Pivotal Investment Holdings III LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 6,540,000 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: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F1 · price: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F1 · derivative.exercise_date: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F1 · derivative.expiration_date: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F2 · ownership.nature: These shares are owned directly by Pivotal Investment Holdings III LLC, a ten percent owner of the issuer, and indirectly by its managing members, Ironbound Partners Fund, LLC and Pivotal Spac Funding III LLC. Ironbound Partners Fund, LLC is an affiliate of Jonathan Ledecky, the Issuer's Chairman. Pivotal Spac Funding III LLC is an affiliate of MGG Investment Group, LP, whose Chief Executive Officer is Kevin Griffin, the Chief Executive Officer and a director of the Issuer. Each of Mr. Ledecky, Ironbound Partners Fund, LLC, Pivotal Spac Funding III LLC, MGG Investment Group, LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Investment Holdings III LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 30, 2022 Filed Jan 3, 2023 16:50 UTC | Pivotal Investment Corp III PICC · Entity 110751 | ConversionClass A Common Stock | 6,540,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-000066 · form4.xml · nonDerivative · entry 1 Pivotal Investment Holdings III LLC · CIK 0001842422 · 10% owner LEDECKY JONATHAN J · CIK 0001008382 · Director · 10% owner Griffin Kevin · CIK 0001766124 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Pivotal Investment Holdings III LLC Disclosed balance after: 6,540,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Class B Common Stock will convert into Class A Common Stock upon the earlier of (1) request by the holder or (2) automatically at the time of the Issuer's initial business combination. Such conversion shall be on a one-for-one basis, subject to adjustment. The Class B Common Stock has no exercise or conversion price, nor expiration date. F2 · ownership.nature: These shares are owned directly by Pivotal Investment Holdings III LLC, a ten percent owner of the issuer, and indirectly by its managing members, Ironbound Partners Fund, LLC and Pivotal Spac Funding III LLC. Ironbound Partners Fund, LLC is an affiliate of Jonathan Ledecky, the Issuer's Chairman. Pivotal Spac Funding III LLC is an affiliate of MGG Investment Group, LP, whose Chief Executive Officer is Kevin Griffin, the Chief Executive Officer and a director of the Issuer. Each of Mr. Ledecky, Ironbound Partners Fund, LLC, Pivotal Spac Funding III LLC, MGG Investment Group, LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Investment Holdings III LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
| May 04, 2022 Filed May 6, 2022 14:33 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | GrantCommon Stock | 96,774 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-024476 · ownership.xml · nonDerivative · entry 1 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,992 F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 4, 2022. Read SEC document |
| July 26, 2021 Filed Jul 28, 2021 11:00 UTC | Pivotal Investment Corp III PICC · Entity 110751 | SaleClass B Common Stock · Derivative | 60,000 | $0.00 | $240.00 |
DisclosureSEC source: 0001094891-21-000271 · edgar.xml · derivative · entry 1 Pivotal Investment Holdings III LLC · CIK 0001842422 · 10% owner LEDECKY JONATHAN J · CIK 0001008382 · Director · 10% owner Griffin Kevin · CIK 0001766124 · Director · President & CEO · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pivotal Investment Holdings III LLC Disclosed balance after: 6,540,000 Underlying: Class A Common Stock · 60,000 shares Expires not disclosed F1 · derivative.exercise_price: The Class B Common Stock will automatically convert into the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis. The Class B Common Stock has no expiration date. F2 · price: The sale price of the shares is equal to the purchase price originally paid by the reporting person for such shares. F1 · derivative.exercise_date: The Class B Common Stock will automatically convert into the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis. The Class B Common Stock has no expiration date. F1 · derivative.expiration_date: The Class B Common Stock will automatically convert into the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis. The Class B Common Stock has no expiration date. F3 · ownership.nature: These shares are owned directly by Pivotal Investment Holdings III LLC, a ten percent owner of the issuer, and indirectly by its managing members, Ironbound Partners Fund, LLC and Pivotal Spac Funding III LLC. Ironbound Partners Fund, LLC is an affiliate of Jonathan Ledecky, the Issuer's Chairman. Pivotal Spac Funding III LLC is an affiliate of MGG Investment Group, LP, whose Chief Executive Officer is Kevin Griffin, the Chief Executive Officer and a director of the Issuer. Each of Mr. Ledecky, Ironbound Partners Fund, LLC, Pivotal Spac Funding III LLC, MGG Investment Group, LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Investment Holdings III LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
| May 26, 2021 Filed May 28, 2021 16:42 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | GrantStock Option (right to buy) · Derivative | 17,815 | $0.00 Strike: $6.81 | $0.00 |
DisclosureSEC source: 0001213900-21-029976 · ownership.xml · derivative · entry 4 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,815 Underlying: Common Stock · 17,815 shares Expires 2031-05-26 F4 · derivative.exercise_date: The shares underlying this option shall become fully vested on the first anniversary of May 26, 2021, subject to the reporting person's continued service through the vesting date. Read SEC document |
| May 26, 2021 Filed May 28, 2021 16:42 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | GrantCommon Stock | 11,013 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-029976 · ownership.xml · nonDerivative · entry 1 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,218 F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 26, 2021. Read SEC document |
| May 26, 2021 Filed Dec 15, 2021 19:00 UTC Amendment | SPRUCE POWER HOLDING CORP XL · Entity 7389 | GrantStock Option (right to buy) · Derivative | 15,743 | $0.00 Strike: $6.81 | $0.00 |
DisclosureSEC source: 0001213900-21-065542 · ownership.xml · derivative · entry 1 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,743 Underlying: Common Stock · 15,743 shares Expires 2031-05-26 F1 · shares: This Form 4 amendment is being filed solely to correct an administrative error, which misreported the number of Stock Options granted on May 26, 2021. F2 · derivative.exercise_date: The shares underlying this option shall become fully vested on May 26, 2022, subject to the reporting person's continued service through the vesting date. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 19:25 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | GrantStock Option (right to buy) · Derivative | 3,567 | $0.00 Strike: $14.17 | $0.00 |
DisclosureSEC source: 0000899243-21-009106 · doc4.xml · derivative · entry 4 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,567 Underlying: Common Stock · 3,567 shares Expires 2031-02-26 F4 · derivative.exercise_date: The shares underlying this option shall become fully vested on the first anniversary of December 21, 2020, subject to the reporting person's continued service through the vesting date. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 19:25 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | GrantCommon Stock | 2,205 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-009106 · doc4.xml · nonDerivative · entry 1 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,205 F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of December 21, 2020. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 18:02 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | ConversionWarrants · Derivative | 4,233,333 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000899243-20-035038 · doc4.xml · derivative · entry 4 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pivotal Investment Holdings II LLC Disclosed balance after: 4,233,333 Underlying: Common Stock · 4,233,333 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · security: In connection with the Business Combination and pursuant to the Merger Agreement, each warrant to purchase Pivotal Class A Common Stock was automatically converted to a warrant to purchase Common Stock. F6 · kind: In connection with the Business Combination and pursuant to the Merger Agreement, each warrant to purchase Pivotal Class A Common Stock was automatically converted to a warrant to purchase Common Stock. F6 · price: In connection with the Business Combination and pursuant to the Merger Agreement, each warrant to purchase Pivotal Class A Common Stock was automatically converted to a warrant to purchase Common Stock. F7 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Business Combination. F8 · derivative.expiration_date: The warrants will expire at 5:00 pm New York City time on the fifth anniversary of the completion of the Business Combination, or earlier upon redemption or liquidation. F9 · ownership.nature: Includes 4,233,333 shares of Common Stock issuable upon the exercise of warrants owned directly by the Sponsor, of which Spac Funding II, an affiliate of Mr. Griffin (a director of the Issuer), is a managing member. Notwithstanding their dispositive and voting control over such warrants, each of Mr. Griffin and Spac Funding II disclaim beneficial ownership of the securities held by the Sponsor, except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 18:02 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | ConversionClass B Common Stock · Derivative | 5,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-035038 · doc4.xml · derivative · entry 3 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pivotal Investment Holdings II LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 5,500,000 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. F5 · security: The shares of Pivotal Class B common stock automatically converted into shares of Pivotal Class A Common Stock at the time of the Business Combination on a one-for-one basis. Upon the closing of the Business Combination, pursuant to the Merger Agreement, such shares were converted into shares of Common Stock on a one-for-one basis. F5 · derivative.exercise_price: The shares of Pivotal Class B common stock automatically converted into shares of Pivotal Class A Common Stock at the time of the Business Combination on a one-for-one basis. Upon the closing of the Business Combination, pursuant to the Merger Agreement, such shares were converted into shares of Common Stock on a one-for-one basis. F5 · kind: The shares of Pivotal Class B common stock automatically converted into shares of Pivotal Class A Common Stock at the time of the Business Combination on a one-for-one basis. Upon the closing of the Business Combination, pursuant to the Merger Agreement, such shares were converted into shares of Common Stock on a one-for-one basis. F5 · price: The shares of Pivotal Class B common stock automatically converted into shares of Pivotal Class A Common Stock at the time of the Business Combination on a one-for-one basis. Upon the closing of the Business Combination, pursuant to the Merger Agreement, such shares were converted into shares of Common Stock on a one-for-one basis. F5 · derivative.exercise_date: The shares of Pivotal Class B common stock automatically converted into shares of Pivotal Class A Common Stock at the time of the Business Combination on a one-for-one basis. Upon the closing of the Business Combination, pursuant to the Merger Agreement, such shares were converted into shares of Common Stock on a one-for-one basis. F5 · derivative.expiration_date: The shares of Pivotal Class B common stock automatically converted into shares of Pivotal Class A Common Stock at the time of the Business Combination on a one-for-one basis. Upon the closing of the Business Combination, pursuant to the Merger Agreement, such shares were converted into shares of Common Stock on a one-for-one basis. F2 · ownership.nature: Includes 5,500,000 shares ("Sponsor Shares") owned directly by Pivotal Investment Holdings II LLC, a Delaware limited liability company and the sponsor of the Issuer (the "Sponsor"), of which Pivotal Spac Funding II LLC ("Spac Funding II"), of which Mr. Griffin (a director of the Issuer) is the Chief Executive Officer and Chief Investment Officer, is a managing member. Notwithstanding their dispositive and voting control over such Sponsor Shares, each of Mr. Griffin and Spac Funding II disclaim beneficial ownership of the securities held by the Sponsor, except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 18:02 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | GrantCommon Stock | 630,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-035038 · doc4.xml · nonDerivative · entry 2 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By MGG Investment Group, LP Disclosed balance after: 630,000 F1 · security: In connection with the consummation of the business combination (the "Business Combination") and pursuant to the Agreement and Plan of Reorganization, dated as of September 17, 2020 (the "Merger Agreement"), by and among Pivotal Investment Corporation II ("Pivotal"), PIC II Merger Sub Corp., a Delaware corporation and wholly owned subsidiary of Pivotal ("Merger Sub"), and XL Hybrids, Inc. ("Legacy XL"), pursuant to which Merger Sub merged with and into Legacy XL, with Legacy XL surviving as a wholly-owned subsidiary of Pivotal (which subsequently changed its name to "XL Fleet Corp.", the "Issuer"), each share of Pivotal Class A common stock ("Pivotal Class A Common Stock") was automatically converted on a one-for-one basis, into the Issuer's common stock (the "Common Stock"). F3 · kind: In connection with the consummation of the Business Combination, certain affiliates of MGG Investment Group, LP, a Delaware limited partnership ("MGG"), acquired, at $10.00 per share, an aggregate of 630,000 shares of Common Stock in a private placement pursuant to subscription agreements, dated as of September 17, 2020, by and among Pivotal and certain investors party thereto, as amended or supplemented. F3 · price: In connection with the consummation of the Business Combination, certain affiliates of MGG Investment Group, LP, a Delaware limited partnership ("MGG"), acquired, at $10.00 per share, an aggregate of 630,000 shares of Common Stock in a private placement pursuant to subscription agreements, dated as of September 17, 2020, by and among Pivotal and certain investors party thereto, as amended or supplemented. F4 · ownership.nature: Includes 630,000 shares of Common Stock ("MGG Shares") in the aggregate owned directly by certain affiliates of MGG, an affiliate of Spac Funding II, of which Mr. Griffin (a director of the Issuer) is the Chief Executive Officer and Chief Investment Officer. Notwithstanding their dispositive and voting control over such MGG Shares, each of Mr. Griffin and Spac Funding II disclaim beneficial ownership of the securities held by MGG, except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 18:02 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | ConversionCommon Stock | 5,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-035038 · doc4.xml · nonDerivative · entry 1 Griffin Kevin · CIK 0001766124 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pivotal Investment Holdings II LLC Disclosed balance after: 5,500,000 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 · security: In connection with the consummation of the business combination (the "Business Combination") and pursuant to the Agreement and Plan of Reorganization, dated as of September 17, 2020 (the "Merger Agreement"), by and among Pivotal Investment Corporation II ("Pivotal"), PIC II Merger Sub Corp., a Delaware corporation and wholly owned subsidiary of Pivotal ("Merger Sub"), and XL Hybrids, Inc. ("Legacy XL"), pursuant to which Merger Sub merged with and into Legacy XL, with Legacy XL surviving as a wholly-owned subsidiary of Pivotal (which subsequently changed its name to "XL Fleet Corp.", the "Issuer"), each share of Pivotal Class A common stock ("Pivotal Class A Common Stock") was automatically converted on a one-for-one basis, into the Issuer's common stock (the "Common Stock"). F1 · kind: In connection with the consummation of the business combination (the "Business Combination") and pursuant to the Agreement and Plan of Reorganization, dated as of September 17, 2020 (the "Merger Agreement"), by and among Pivotal Investment Corporation II ("Pivotal"), PIC II Merger Sub Corp., a Delaware corporation and wholly owned subsidiary of Pivotal ("Merger Sub"), and XL Hybrids, Inc. ("Legacy XL"), pursuant to which Merger Sub merged with and into Legacy XL, with Legacy XL surviving as a wholly-owned subsidiary of Pivotal (which subsequently changed its name to "XL Fleet Corp.", the "Issuer"), each share of Pivotal Class A common stock ("Pivotal Class A Common Stock") was automatically converted on a one-for-one basis, into the Issuer's common stock (the "Common Stock"). F1 · price: In connection with the consummation of the business combination (the "Business Combination") and pursuant to the Agreement and Plan of Reorganization, dated as of September 17, 2020 (the "Merger Agreement"), by and among Pivotal Investment Corporation II ("Pivotal"), PIC II Merger Sub Corp., a Delaware corporation and wholly owned subsidiary of Pivotal ("Merger Sub"), and XL Hybrids, Inc. ("Legacy XL"), pursuant to which Merger Sub merged with and into Legacy XL, with Legacy XL surviving as a wholly-owned subsidiary of Pivotal (which subsequently changed its name to "XL Fleet Corp.", the "Issuer"), each share of Pivotal Class A common stock ("Pivotal Class A Common Stock") was automatically converted on a one-for-one basis, into the Issuer's common stock (the "Common Stock"). F2 · ownership.nature: Includes 5,500,000 shares ("Sponsor Shares") owned directly by Pivotal Investment Holdings II LLC, a Delaware limited liability company and the sponsor of the Issuer (the "Sponsor"), of which Pivotal Spac Funding II LLC ("Spac Funding II"), of which Mr. Griffin (a director of the Issuer) is the Chief Executive Officer and Chief Investment Officer, is a managing member. Notwithstanding their dispositive and voting control over such Sponsor Shares, each of Mr. Griffin and Spac Funding II disclaim beneficial ownership of the securities held by the Sponsor, except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 19, 2019 Filed Dec 23, 2019 10:45 UTC | KLDiscovery Inc. KLDI · Entity 138111 | Grant8.00% Convertible Debenture Due December 19, 2024 · Derivative | Not disclosed | $100,000,000.00 Strike: $18.00 | $100,000,000.00 |
DisclosureSEC source: 0001094891-19-000244 · edgar.xml · derivative · entry 6 Griffin Kevin · CIK 0001766124 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By MGG Investment Group LP Disclosed balance after: Not disclosed Underlying: Common Stock · 5,555,556 shares Expires 2024-12-19 F6 · derivative.exercise_date: The holder of the debentures may, at its option, require the Issuer to convert all (and not less than all) of the then-outstanding principal amount (including any interest paid in kind) of the debentures (and any or all accrued and unpaid interest thereon and all other amounts owing to the holder under the debentures, subject to certain exceptions). Accordingly, the princinpal amount of debentures owned by the holder and the number of shares of common stock issuable upon conversion of the debentures may increase from time to time. F6 · derivative.underlying: The holder of the debentures may, at its option, require the Issuer to convert all (and not less than all) of the then-outstanding principal amount (including any interest paid in kind) of the debentures (and any or all accrued and unpaid interest thereon and all other amounts owing to the holder under the debentures, subject to certain exceptions). Accordingly, the princinpal amount of debentures owned by the holder and the number of shares of common stock issuable upon conversion of the debentures may increase from time to time. F6 · valueOwnedAfter: The holder of the debentures may, at its option, require the Issuer to convert all (and not less than all) of the then-outstanding principal amount (including any interest paid in kind) of the debentures (and any or all accrued and unpaid interest thereon and all other amounts owing to the holder under the debentures, subject to certain exceptions). Accordingly, the princinpal amount of debentures owned by the holder and the number of shares of common stock issuable upon conversion of the debentures may increase from time to time. F8 · ownership.nature: MGG Investment Group LP is the investment advisor to certain investment funds and/or accounts ("MGG Funds") that hold the debentures reported herein. Kevin Griffin is the Chief Executive Officer of MGG Investment Group LP. Mr. Griffin disclaims beneficial ownership of the securities held by the MGG Funds, except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2019 Filed Dec 23, 2019 10:45 UTC | KLDiscovery Inc. KLDI · Entity 138111 | Disposition to issuerWarrants · Derivative | 1,764,719 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001094891-19-000244 · edgar.xml · derivative · entry 5 Griffin Kevin · CIK 0001766124 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Pivotal Acquisition Holdings LLC Disclosed balance after: 4,585,281 Underlying: Common Stock · 1,764,719 shares Expires not disclosed F2 · price: The reporting person forfeited these securities to the Issuer for no consideration. F4 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Issuer's initial business combination. F5 · derivative.expiration_date: The warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination. F7 · ownership.nature: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 19, 2019 Filed Dec 23, 2019 10:45 UTC | KLDiscovery Inc. KLDI · Entity 138111 | ConversionClass B common stock · Derivative | 5,070,608 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-19-000244 · edgar.xml · derivative · entry 4 Griffin Kevin · CIK 0001766124 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Pivotal Acquisition Holdings LLC Disclosed balance after: 0 Underlying: Common Stock · 5,070,608 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: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F1 · price: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F1 · derivative.exercise_date: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F1 · derivative.expiration_date: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F7 · ownership.nature: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 19, 2019 Filed Dec 23, 2019 10:45 UTC | KLDiscovery Inc. KLDI · Entity 138111 | Disposition to issuerClass B common stock · Derivative | 479,392 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-19-000244 · edgar.xml · derivative · entry 3 Griffin Kevin · CIK 0001766124 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Pivotal Acquisition Holdings LLC Disclosed balance after: 5,320,608 Underlying: Common Stock · 479,392 shares Expires not disclosed F1 · derivative.exercise_price: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F2 · price: The reporting person forfeited these securities to the Issuer for no consideration. F1 · derivative.exercise_date: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F1 · derivative.expiration_date: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F7 · ownership.nature: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 19, 2019 Filed Dec 23, 2019 10:45 UTC | KLDiscovery Inc. KLDI · Entity 138111 | GrantCommon Stock | 250,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-19-000244 · edgar.xml · nonDerivative · entry 2 Griffin Kevin · CIK 0001766124 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By MGG Investment Group LP Disclosed balance after: 250,000 F3 · price: The shares of Common Stock were issued pursuant to a debenture committment entered into between an affiliate of the holder and the Issuer. F8 · ownership.nature: MGG Investment Group LP is the investment advisor to certain investment funds and/or accounts ("MGG Funds") that hold the debentures reported herein. Kevin Griffin is the Chief Executive Officer of MGG Investment Group LP. Mr. Griffin disclaims beneficial ownership of the securities held by the MGG Funds, except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2019 Filed Dec 23, 2019 10:45 UTC | KLDiscovery Inc. KLDI · Entity 138111 | ConversionCommon Stock | 5,070,608 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-19-000244 · edgar.xml · nonDerivative · entry 1 Griffin Kevin · CIK 0001766124 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Pivotal Acquisition Holdings LLC Disclosed balance after: 5,070,608 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Pivotal Acquisition Corp.'s Class B common stock was convertible on a one-for-one basis into common equity of the surviving entity upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the Issuer's business combination, such shares of Class B common stock of Pivotal Acquisition Corp. automatically converted into shares of common stock of KLDiscovery Inc. F7 · ownership.nature: These shares are owned directly by Pivotal Acquisition Holdings LLC, a ten percent owner of the issuer, and indirectly by its managing members, Jonathan Ledecky (a director of the Issuer) and Pivotal Spac Funding LLC. Pivotal Spac Funding LLC is an affiliate of MGG Investment Group LP, whose Chief Executive Officer is Kevin Griffin, a director of the Issuer. Each of Mr. Ledecky, Pivotal Spac Funding LLC, MGG Investment Group LP, and Mr. Griffin disclaim beneficial ownership of the securities held by Pivotal Acquisition Holdings LLC, except to the extent of his or its pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.