Initial Statement of Beneficial Ownership (3)
November 25 2020 - 4:06PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Treece Mack |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/16/2020
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3. Issuer Name and Ticker or Trading Symbol
Eos Energy Enterprises, Inc. [EOSE]
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(Last)
(First)
(Middle)
C/O EOS ENERGY ENTERPRISES, INC., 3920 PARK AVENUE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Strategic Alliance Off. / |
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(Street)
EDISON, NJ 08820
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
| Option | (1) | 6/1/2030 | Common Stock | 115276 | $8.67 | D | |
| Restricted Stock Units | (2) | (3) | Common Stock | 11130 | $0 | D | |
| Explanation of Responses: |
| (1) | For so long as the reporting person remains in service, the shares of common stock subject to this option will vest as to 33% on 6/30/2021, with the remaining vesting in equal annual installments over a two year period; provided, however, that the shares will vest in full upon a change in control of the issuer.. |
| (2) | The reporting person received restricted stock units which vest in full on December 16, 2021 (the "Vesting Date"), provided that the reporting person remains in service. The restricted stock units will also vest in full if, prior to the Vesting Date, the reporting person is terminated without cause. |
| (3) | Not Applicable |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Treece Mack
C/O EOS ENERGY ENTERPRISES, INC.
3920 PARK AVENUE
EDISON, NJ 08820 |
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| Chief Strategic Alliance Off. |
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Signatures
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| /s/ Sagar Kurada as attorney-in-fact for Mack Treece | | 11/25/2020 |
| **Signature of Reporting Person | Date |
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