Statement of Changes in Beneficial Ownership (4)
August 03 2021 - 7:52PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Stidolph Russell Monoki |
2. Issuer Name and Ticker or Trading Symbol
Eos Energy Enterprises, Inc.
[
EOSE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ALTENERGY LLC, 137 ROWAYTON AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/30/2021 |
(Street)
ROWAYTON, CT 06853
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 7/30/2021 | | J(1) | | 2349630 | D | $0 | 4785479 | I | See footnotes (2)(3) |
Common Stock | 7/30/2021 | | J(4) | | 815026 | A | $0 | 5600505 | I | See footnotes (3) |
Common Stock | 7/30/2021 | | J(5) | | 144161 | A | $0 | 5744666 | I | See footnotes (6) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | AltEnergy Storage, LLC, a Delaware limited liability company ("AltEnergy I"), AltEnergy Storage II, LLC, a Delaware limited liability company ("AltEnergy II"), AltEnergy Storage V, LLC, a Delaware limited liability company ("AltEnergy V"), AltEnergy Storage Bridge Phase II, LLC, a Delaware limited liability company ("Bridge II") and AltEnergy Storage Bridge, LLC, a Delaware limited liability company ("Bridge") made pro rata distributions for no consideration of an aggregate of 2,349,630 shares of Common Stock of the Issuer to their respective members on July 30, 2021. |
(2) | In addition to Russell Stidolph, a natural person ("Mr. Stidolph"), this Form 4 is being filed jointly by AltEnergy LLC, a Delaware limited liability company ("AltEnergy"); (ii) AltEnergy I; (iii) AltEnergy II; (iv) AltEnergy V; (v) AltEnergy VI LLC, a Delaware limited liability company ("AltEnergy VI"); (vi) Bridge; (vii) AltEnergy Transmission LLC, a Delaware limited liability company ("Transmission"); and (viii) Bridge II (collectively, the "Filing Persons"). |
(3) | The shares reported in this Form 4 are shares of common stock in which Mr. Stidoloph has a pecuniary interest in that are held directly byAltEnergy I, AltEnergy II, AltEnergy V, AltEnergy VI, Bridge, Transmission or Bridge II. 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 of the issuer reported herein except to the extent of its pecuniary interest therein. |
(4) | Represents the receipt, for no consideration, of an aggregate of 815,026 shares of Common Stock of the Issuer by AltEnergy pursuant to pro rata distributions by each of AltEnergy I, AltEnergy II, AltEnergy V, Bridge and Bridge II. |
(5) | Represents the receipt, for no consideration, of an aggregate of 144,161 shares of Common Stock of the Issuer by The 2008 Stidolph Family Trust (the "Trust") pursuant to a pro rata distribution by AltEnergy I. |
(6) | Mr. Stidolph is a trustee of the Trust. The reporting person disclaims beneficial ownership of the reported securities held by the Trust except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stidolph Russell Monoki C/O ALTENERGY LLC 137 ROWAYTON AVENUE ROWAYTON, CT 06853 | X | X |
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AltEnergy, LLC 137 ROWAYTON AVENUE ROWAYTON, CT 06853 |
| X |
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AltEnergy Storage II LLC 137 ROWAYTON AVENUE ROWAYTON, CT 06853 |
| X |
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AltEnergy Storage V LLC 137 ROWAYTON AVENUE ROWAYTON, CT 06853 |
| X |
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AltEnergy Storage VI LLC 137 ROWAYTON AVENUE ROWAYTON, CT 06853 |
| X |
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AltEnergy Storage Bridge LLC 137 ROWAYTON AVENUE ROWAYTON, CT 06853 |
| X |
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AltEnergy Transmission LLC 137 ROWAYTON AVENUE ROWAYTON, CT 06853 |
| X |
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AltEnergy Storage Bridge Phase II LLC 137 ROWAYTON AVENUE ROWAYTON, CT 06853 |
| X |
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Signatures
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/s/ Russell Stidolph | | 8/3/2021 |
**Signature of Reporting Person | Date |
AltEnergy LLC by: /s/ Russell Stidolph, Managing Director | | 8/3/2021 |
**Signature of Reporting Person | Date |
AltEnergy Storage II LLC by: /s/ Russell Stidolph, Managing Director | | 8/3/2021 |
**Signature of Reporting Person | Date |
AltEnergy Storage V LLC by: /s/ Russell Stidolph, Managing Director | | 8/3/2021 |
**Signature of Reporting Person | Date |
AltEnergy VI LLC by: /s/ Russell Stidolph, Managing Director | | 8/3/2021 |
**Signature of Reporting Person | Date |
AltEnergy Storage Bridge LLC by: /s/ Russell Stidolph, Managing Director | | 8/3/2021 |
**Signature of Reporting Person | Date |
AltEnergy Transmission LLC by: /s/ Russell Stidolph, Managing Director | | 8/3/2021 |
**Signature of Reporting Person | Date |
AltEnergy Storage Bridge Phase II LLC by: /s/ Russell Stidolph, Managing Director | | 8/3/2021 |
**Signature of Reporting Person | Date |
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