FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/16/2020 |
3. Issuer Name and Ticker or Trading Symbol
Eos Energy Enterprises, Inc. [ EOSE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 6,777,925 | I | See Footnote(1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options | (3) | 10/23/2030 | Common Stock | 288,190 | 8.67 | D |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. In addition to Russell Stidolph, a natural person ("Mr. Stidolph"), this Form 3 is being filed jointly by AltEnergy LLC, a Delaware limited liability company ("AltEnergy"); (ii) AltEnergy Storage LLC, a Delaware limited liability company ("AltEnergy I"); (iii) AltEnergy Storage II LLC, a Delaware limited liability company ("AltEnergy II"); (iv) AltEnergy Storage V LLC, a Delaware limited liability company ("AltEnergy V"); (v) AltEnergy VI LLC, a Delaware limited liability company ("AltEnergy VI"); AltEnergy Storage Bridge LLC, a Delaware limited liability company ("Bridge"); AltEnergy Transmission LLC, a Delaware limited liability company ("Transmission"); AltEnergy Storage Bridge Phase II LLC ("Bridge II" and collectively, the "Filing Persons"). |
2. Mr. Stidolph is the managing director of AltEnergy, the managing member of each of AltEnergy I, AltEnergy II, AltEnergy V, AltEnergy VI, Bridge, Transmission and Bridge II, and has voting and dispositive power with respect to the securities owned by AltEnergy I, AltEnergy II, AltEnergy V, AltEnergy VI, Bridge, Transmission and Bridge II. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of the issuer reported herein except to the extent of its pecuniary interest therein. |
3. Options to purchase 192,126 shares of common stock are fully vested. The options to purchase 96,064 shares of common stock will vest as of November 16, 2022; provided, that, prior to the vesting date: (i) the reporting person has not resigned as a member of the Board of Directors of the Company (the "Board") for any reason, and (ii) the reporting person has not been removed as a member of the Board by the issuer for cause. |
/s/ Russell Stidolph | 11/27/2020 | |
AltEnergy LLC by: /s/ Russell Stidolph, Managing Director | 11/27/2020 | |
AltEnergy Storage LLC by: /s/ Russell Stidolph, Managing Director | 11/27/2020 | |
AltEnergy Storage II LLC by: /s/ Russell Stidolph, Managing Director | 11/27/2020 | |
AltEnergy Storage V LLC by: /s/ Russell Stidolph, Managing Director | 11/27/2020 | |
AltEnergy VI LLC by: /s/ Russell Stidolph, Managing Director | 11/27/2020 | |
AltEnergy Storage Bridge LLC by: /s/ Russell Stidolph, Managing Director | 11/27/2020 | |
AltEnergy Transmission LLC by: /s/ Russell Stidolph, Managing Director | 11/27/2020 | |
AltEnergy Storage Bridge Phase II LLC by: /s/ Russell Stidolph, Managing Director | 11/27/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |