Statement of Changes in Beneficial Ownership (4)
September 08 2021 - 7:33PM
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
*
Shribman Daniel |
2. Issuer Name and Ticker or Trading Symbol
Eos Energy Enterprises, Inc.
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EOSE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O EOS ENERGY ENTERPRISES, INC., 3920 PARK AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/15/2021 |
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(Street)
EDISON, NJ 08820
(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)
_X
_ Form filed by One Reporting Person
___ 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 | 6/15/2021 | | M | | 5198 (1) | A | $0 (2) | 998948 | D | |
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 |
| Restricted Stock Units | $0.0 | 6/15/2021 | | M | | | 5198 | 6/15/2021 | (3) | Common Stock | 5198.0 | $0 | 0 | D | |
| Restricted Stock Units | (4) | 6/17/2021 | | A | | 3762 | | (5) | (3) | Common Stock | 3762.0 | $0 | 3762 | D | |
| Stock Option (Right to Buy) | $19.94 | 6/17/2021 | | A | | 9617 | | (6) | 6/17/2026 | Common Stock | 9617.0 | $0 | 9617 | D | |
| Explanation of Responses: |
| (1) | Restricted stock units vested |
| (2) | Convert without cost to shares of common stock on a one-for-one basis. |
| (3) | Not applicable. |
| (4) | Each restricted stock unit represents a contingent right to receive one share of common stock |
| (5) | The reporting person received restricted stock units which vest on the earlier of (i) the first anniversary of the grant date, and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date; provided, that, the restricted stock units shall vest in full upon the consummation of a change in control. |
| (6) | The reporting person was granted an option to purchase common stock which vests on the earlier of (i) the first anniversary of the grant date, and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date; provided, that, the option shall vest in full upon the consummation of a change in control. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Shribman Daniel
C/O EOS ENERGY ENTERPRISES, INC.
3920 PARK AVENUE
EDISON, NJ 08820 | X |
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Signatures
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| /s/ Sagar Kurada as attorney-in-fact for Daniel Shribman | | 9/8/2021 |
| **Signature of Reporting Person | Date |
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