Statement of Changes in Beneficial Ownership (4)
May 23 2022 - 04:54PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 *
DIMITRIEF ALEXANDER |
2. Issuer Name and Ticker or Trading
Symbol Eos Energy Enterprises, Inc. [ EOSE ] |
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)
5/19/2022
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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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
Stock Option (Right to Buy) |
$1.18 |
5/19/2022 |
|
A |
|
145018 |
|
(1) |
5/19/2027 |
Common Stock |
145018.0 |
$0 |
145018 |
D |
|
Restricted Stock Units |
(2) |
5/19/2022 |
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A |
|
63559 |
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(1) |
(3) |
Common Stock |
63559.0 |
$0 |
63559 |
D |
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Explanation of
Responses: |
(1) |
The reporting person was
granted (A) an option to purchase common stock and (B) restricted
stock units that settle in common stock, each of 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 option or restricted stock unit, as applicable, shall vest in
full upon the consummation of a change in control. |
(2) |
Each restricted stock unit
represents a contingent right to receive one share of common
stock. |
(3) |
Not Applicable. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
DIMITRIEF ALEXANDER
C/O EOS ENERGY ENTERPRISES, INC.
3920 PARK AVENUE
EDISON, NJ 08820 |
X |
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|
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Signatures
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/s/ Randall Gonzales as attorney-in-fact for
Alexander Dimitrief |
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5/23/2022 |
**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 4(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 control number. |
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