NVVE · Nuvve Holding Corp.
Substantial doubt about the company's ability to continue as a going concern.
“management cannot conclude as of the date of this filing that the plans are probable of being successfully implemented and as such has concluded that substantial doubt exists about the Company's ability to continue as a going concern for twelve months from the date of issuance of our financial statements.”View the 10-Q filed Jul 15, 2026
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 3, 4 and 5. Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2025-12-31 | Poilasne Gregory |
Director, Chief Executive Officer |
Convert↓
Filing footnotes — Warrants (right to buy) (Direct)
The warrants were issued on October 31, 2024, and were exercised into shares of common stock, subject to the full ratchet anti dilution provisions contained therein. The number of shares underlying the warrants and issued upon its exercise also reflect the reverse stock split completed by the Company as of December 15, 2025 at a ratio of 1-for-40 shares. |
Warrants (right to buy)
|
117,358 |
| 2025-12-31 | Poilasne Gregory |
Director, Chief Executive Officer |
Convert↑
Filing footnotes — Common Stock (Direct)
The warrants were issued on October 31, 2024, and were exercised into shares of common stock, subject to the full ratchet anti dilution provisions contained therein. The number of shares underlying the warrants and issued upon its exercise also reflect the reverse stock split completed by the Company as of December 15, 2025 at a ratio of 1-for-40 shares. |
Common Stock
|
117,358 |
| 2025-12-01 | Poilasne Gregory |
Director, Chief Executive Officer |
Sell↓
Filing footnotes — Common Stock (Direct)
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from approximately $0.17 to $0.20, inclusive. The Reporting Person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price such shares were purchased. |
Common Stock
|
126,000 |
| 2025-11-28 | Poilasne Gregory |
Director, Chief Executive Officer |
Sell↓
Filing footnotes — Common Stock (Direct)
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from approximately $0.22 to $0.25, inclusive. The Reporting Person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price such shares were purchased. |
Common Stock
|
100,000 |
| 2025-11-26 | Poilasne Gregory |
Director, Chief Executive Officer |
Sell↓
Filing footnotes — Common Stock (Direct)
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from approximately $0.25 to $0.29, inclusive. The Reporting Person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price such shares were purchased. |
Common Stock
|
100,000 |
| 2025-11-19 | Robson David |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock. |
Common Stock
|
937,125 |
| 2025-11-19 | Smith Ted C. |
Director, President and COO |
Award↑
Filing footnotes — Employee Stock Option (Right to Buy) (Direct)
The securities awarded are in the form of Employee Stock Options issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan and vest on December 31, 2025. |
Employee Stock Option (Right to Buy)
|
200,000 |
| 2025-11-19 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock. |
Common Stock
|
1,323,000 |
| 2025-11-19 | Robson David |
Chief Financial Officer |
Award↑
Filing footnotes — Employee Stock Option (Right to Buy) (Direct)
The securities awarded are in the form of Employee Stock Options (Right to Buy) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan and vest on December 31, 2025. |
Employee Stock Option (Right to Buy)
|
1,000,000 |
| 2025-11-19 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Employee Stock Option (Right to Buy) (Direct)
The securities awarded are in the form of Employee Stock Options (Right to Buy) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan and vest on December 31, 2025. |
Employee Stock Option (Right to Buy)
|
2,000,000 |
| 2025-08-24 | Montgomery Jon M. |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock. The number of shares beneficially owned were adjusted to reflect: (i) a 1-for-40 reverse stock split effected on January 19, 2024, and (ii) a 1-for-10 reverse stock split effected on September 17, 2024. |
Common Stock
|
100,000 |
| 2025-08-24 | Johnson Brian Arthur |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock. |
Common Stock
|
100,000 |
| 2025-08-24 | ALTUCHER JAMES ANDREW |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock. |
Common Stock
|
100,000 |
| 2025-08-24 | Sherman H. David |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock. The number of shares beneficially owned were adjusted to reflect: (i) a 1-for-40 reverse stock split effected on January 19, 2024, and (ii) a 1-for-10 reverse stock split effected on September 17, 2024. |
Common Stock
|
100,000 |
| 2025-08-24 | Huang Laura |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock. |
Common Stock
|
100,000 |
| 2025-08-22 | Poilasne Gregory |
Director, Chief Executive Officer |
Sell↓
Filing footnotes — Common Stock (Direct)
The common stock was sold by the Reporting Person in open market transactions on the transaction date, with a volume weighted average sales price of $0.4725 per share. The range of sales prices on the transaction date was $0.47 to $0.48 per share. Detailed information on the exact number of shares can be obtained from the Issuer upon request. |
Common Stock
|
200,000 |
| 2025-08-15 | Poilasne Gregory |
Director, Chief Executive Officer |
Convert↓
Filing footnotes — Senior Convertible Notes (Direct)
The Reporting Person acquired a $250,000 principal amount convertible promissory note on October 31, 2024, as amended and restated, the Note, from the Issuer for aggregate consideration of $225,000. The Note bears interest at 8%. On August 15, 2025, the Reporting Person converted approximately $250,000 of principal and $27,777.63 of accrued interest under a convertible promissory note, dated October 31, 2024, as amended and restated, outstanding under the Note, into 526,094 shares of the Issuers common stock, at a conversion price of $0.528 per share. The issuance of shares of common stock upon the conversion of the Note by the Reporting Person was approved by the Issuers stockholders at a special meeting held on February 21, 2025. The conversion price in effect at the time of conversion pursuant to the terms of the Note was $0.528 per share. The Note was issued on October 31, 2024, and was convertible into shares of common stock at the election of the holder anytime thereafter at an initial conversion price of $3.402 per share, subject to the full ratchet anti dilution provisions contained therein, subject to a floor price of $0.528 per share, and subject to approval by the stockholders of the Issuer. The Issuer's stockholders approved the issuance of shares of common stock upon the conversion of the Note at a special meeting held on February 21, 2025. |
Senior Convertible Notes
|
0 |
| 2025-08-15 | Poilasne Gregory |
Director, Chief Executive Officer |
Convert↑
Filing footnotes — Common Stock (Direct)
The Reporting Person acquired a $250,000 principal amount convertible promissory note on October 31, 2024, as amended and restated, the Note, from the Issuer for aggregate consideration of $225,000. The Note bears interest at 8%. On August 15, 2025, the Reporting Person converted approximately $250,000 of principal and $27,777.63 of accrued interest under a convertible promissory note, dated October 31, 2024, as amended and restated, outstanding under the Note, into 526,094 shares of the Issuers common stock, at a conversion price of $0.528 per share. The issuance of shares of common stock upon the conversion of the Note by the Reporting Person was approved by the Issuers stockholders at a special meeting held on February 21, 2025. The conversion price in effect at the time of conversion pursuant to the terms of the Note was $0.528 per share. The Note was issued on October 31, 2024, and was convertible into shares of common stock at the election of the holder anytime thereafter at an initial conversion price of $3.402 per share, subject to the full ratchet anti dilution provisions contained therein, subject to a floor price of $0.528 per share, and subject to approval by the stockholders of the Issuer. The Issuer's stockholders approved the issuance of shares of common stock upon the conversion of the Note at a special meeting held on February 21, 2025. |
Common Stock
|
526,094 |
| 2025-06-25 | Johnson Brian Arthur |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2025-05-20 | Huang Laura |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2024-12-31 | Poilasne Gregory |
Director, Chief Executive Officer |
Sell↓
Filing footnotes — Common Stock (Direct)
Such shares were sold to the Issuer as part of year-end estate planning and were sold pursuant to the terms of the Stock Repurchase Agreement, dated as of December 31, 2024, by and between the Issuer and the Reporting Person. |
Common Stock
|
1,680 |
| 2024-12-20 | Smith Ted C. |
Director, President and COO |
Buy↑
|
Common Stock
|
7,155 |
| 2024-12-19 | Smith Ted C. |
Director, President and COO |
Buy↑
|
Common Stock
|
3,928 |
| 2024-10-31 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Warrants (right to buy) (Direct)
The reporting person acquired the $250,000 principal amount convertible promissory note and accompanying warrant from the Issuer for aggregate consideration of $225,000. The Senior Convertible Note bears interest at 8% and is subject to a 19.99% blocker, the Exchange Cap, unless the Issuer receives stockholder approval to issue shares of common stock upon the conversion of the Senior Convertible Note that exceed the Exchange Cap. The Warrant was granted on October 31, 2024 and is exercisable for 73,487 shares of the Issuer's common shares at a price of $3.78 per share and will expire on October 31, 2029. The issuance of shares upon exercise of the Warrant is subject to the Exchange Cap unless the Issuer receives stockholder approval to issue shares of common stock upon the exercise of the Warrant that exceed the Exchange Cap. |
Warrants (right to buy)
|
73,487 |
| 2024-10-31 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Senior Convertible Notes (Direct)
The reporting person acquired the $250,000 principal amount convertible promissory note and accompanying warrant from the Issuer for aggregate consideration of $225,000. The Senior Convertible Note bears interest at 8% and is subject to a 19.99% blocker, the Exchange Cap, unless the Issuer receives stockholder approval to issue shares of common stock upon the conversion of the Senior Convertible Note that exceed the Exchange Cap. |
Senior Convertible Notes
|
0 |
| 2024-10-15 | Stonepeak Rocket Holdings II LP |
10% Owner |
Other↓
Filing footnotes — Series B Warrants (Direct)
On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination"). Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021. The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share. Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC. Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve. Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
Series B Warrants
|
2,000,000 |
| 2024-10-15 | Stonepeak Rocket Holdings II LP |
10% Owner |
Other↓
Filing footnotes — Series C Warrants (Direct)
On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination"). Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021. The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share. Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC. Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve. Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
Series C Warrants
|
1,000,000 |
| 2024-10-15 | Stonepeak Rocket Holdings II LP |
10% Owner |
Other↓
Filing footnotes — Series E Warrants (Direct)
On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination"). Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021. The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share. Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC. Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve. Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
Series E Warrants
|
1,000,000 |
| 2024-10-15 | Stonepeak Rocket Holdings II LP |
10% Owner |
Other↓
Filing footnotes — Options (Direct)
On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination"). The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share. Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC. Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve. Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
Options
|
5,000,000 |
| 2024-10-15 | Stonepeak Rocket Holdings II LP |
10% Owner |
Other↓
Filing footnotes — Series D Warrants (Direct)
On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination"). Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021. The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share. Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC. Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve. Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
Series D Warrants
|
1,000,000 |
| 2024-10-15 | Stonepeak Rocket Holdings II LP |
10% Owner |
Other↓
Filing footnotes — Series F Warrants (Direct)
On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination"). Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021. The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share. Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC. Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve. Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
Series F Warrants
|
1,000,000 |
| 2024-02-02 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Warrants to Purchase Common Stock (Direct)
Series A Warrants to purchase Common Stock The common stock, Series A warrants, Series B warrants and Series C warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 2, 2024. |
Warrants to Purchase Common Stock
|
25,000 |
| 2024-02-02 | Poilasne Gregory |
Director, Chief Executive Officer |
Buy↑
Filing footnotes — Common Stock (Direct)
The common stock, Series A warrants, Series B warrants and Series C warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 2, 2024. |
Common Stock
|
25,000 |
| 2024-02-02 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Warrants to Purchase Common Stock (Direct)
Series C Warrants to purchase Common Stock The common stock, Series A warrants, Series B warrants and Series C warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 2, 2024. The Series C warrants to purchase Common Stock may only be exercised to the extent and in proportion to the holder of the Series C warrants exercising its corresponding Series B warrants to purchase Common Stock. The Series C warrants to purchase Common Stock expire fire years from the date of issuance, however, provided that to the extent and in proportion to the holder of Series C warrants not exercising its corresponding Series B warrants, such Series C warrants will expire on November 2, 2024. |
Warrants to Purchase Common Stock
|
25,000 |
| 2024-02-02 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Warrants to Purchase Common Stock (Direct)
Series B Warrants to purchase Common Stock. The common stock, Series A warrants, Series B warrants and Series C warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 2, 2024. Series B warrants will expire on November 2, 2024 |
Warrants to Purchase Common Stock
|
25,000 |
| 2023-12-06 | Smith Ted C. |
Director, President and COO |
Award↑
Filing footnotes — Employee Stock Option (Right to Buy) (Direct)
The 50% of options vest as to 1/4 of the shares on the last day of the fiscal quarter in which the first anniversary of the grant date occurs and shall vest as to 1/16 of the shares on the last day of the following 12 fiscal quarters, and the remaining 50% of the options shall vest immediately upon the occurrence of a performance-based criteria. |
Employee Stock Option (Right to Buy)
|
65,000 |
| 2023-12-06 | Robson David |
Chief Financial Officer |
Award↑
Filing footnotes — Employee Stock Option (Right to Buy) (Direct)
The 50% of options vest as to 1/4 of the shares on the last day of the fiscal quarter in which the first anniversary of the grant date occurs and shall vest as to 1/16 of the shares on the last day of the following 12 fiscal quarters, and the remaining 50% of the options shall vest immediately upon the occurrence of a performance-based criteria. |
Employee Stock Option (Right to Buy)
|
50,000 |
| 2023-12-06 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Employee Stock Option (Right to Buy) (Direct)
The 50% of options vest as to 1/4 of the shares on the last day of the fiscal quarter in which the first anniversary of the grant date occurs and shall vest as to 1/16 of the shares on the last day of the following 12 fiscal quarters, and the remaining 50% of the options shall vest immediately upon the occurrence of a performance-based criteria. |
Employee Stock Option (Right to Buy)
|
250,000 |
| 2023-10-20 | Poilasne Gregory |
Director, Chief Executive Officer |
Buy↑
|
Common Stock
|
714,000 |
| 2023-10-20 | Robson David |
Chief Financial Officer |
Buy↑
|
Common Stock
|
357,000 |
| 2023-08-31 | Smith Ted C. |
Director, President and COO |
Award↑
Filing footnotes — Common Stock (Direct)
In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023. |
Common Stock
|
7,605 |
| 2023-08-31 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Common Stock (Direct)
In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023. |
Common Stock
|
31,089 |
| 2023-08-31 | Robson David |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023. |
Common Stock
|
28,369 |
| 2023-07-31 | Smith Ted C. |
Director, President and COO |
Award↑
Filing footnotes — Common Stock (Direct)
In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023. |
Common Stock
|
5,820 |
| 2023-07-31 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Common Stock (Direct)
In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023. |
Common Stock
|
23,791 |
| 2023-07-31 | Robson David |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023. |
Common Stock
|
21,710 |
| 2023-07-07 | Smith Ted C. |
Director, President and COO |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's amended 2020 Long-Term Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock. The RSUs award vests immediately on grant date and becomes non-forfeitable. |
Common Stock
|
449,898 |
| 2023-07-07 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's amended 2020 Long-Term Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock. The RSUs award vests immediately on grant date and becomes non-forfeitable. |
Common Stock
|
539,448 |
| 2023-07-07 | Robson David |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's amended 2020 Long-Term Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock. The RSUs award vests immediately on grant date and becomes non-forfeitable. |
Common Stock
|
362,508 |
| 2023-06-30 | Poilasne Gregory |
Director, Chief Executive Officer |
Award↑
Filing footnotes — Common Stock (Direct)
In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023. |
Common Stock
|
25,550 |