FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Eos Energy Enterprises, Inc. [ EOSE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/01/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | ||||||
Class A Common Stock | 5,369,778 | I | By BRF Investments, LLC(1)(2) | |||||||
Class A Common Stock | 1,769 | D(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Warrants (right to buy) | $11.5 | 05/22/2021 | 11/16/2025 | Common Stock | 325,000 | 325,000 | I | By BRF Investments, LLC(1)(2) | |||||||
Warrants (right to buy) | $11.5 | 05/22/2021 | 11/16/2025 | Common Stock | 14,993 | 14,993 | D(3)(4) | ||||||||
Warrants (right to buy) | $11.5 | 05/22/2021 | 11/16/2025 | Common Stock | 27 | 27 | I | By Bryant R. Riley, as UTMA custodian for Abigail Riley(1)(2)(5) | |||||||
Warrants (right to buy) | $11.5 | 05/22/2021 | 11/16/2025 | Common Stock | 27 | 27 | I | By Bryant R. Riley, as UTMA custodian for Charlie Riley(1)(2)(5) | |||||||
Warrants (right to buy) | $11.5 | 05/22/2021 | 11/16/2025 | Common Stock | 27 | 27 | I | By Bryant R. Riley, as UTMA custodian for Susan Riley(1)(2)(5) | |||||||
Warrants (right to buy) | $11.5 | 05/22/2021 | 11/16/2025 | Common Stock | 27 | 27 | I | By Bryant R. Riley, as UTMA custodian for Eloise Riley(1)(2)(5) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI. |
2. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI. Each of BRF, BRFI, and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
3. Represents shares held directly by Bryant R. Riley. |
4. Includes 14,993 shares received upon distribution from a limited partnership. |
5. Includes 27 shares received upon distribution from a limited partnership. |
Remarks: |
As of August 1, 2022, due to an increase in the total outstanding shares of Common Stock of the Issuer, the Reporting Persons no longer beneficially own more than 10% of the outstanding Common Stock of the Issuer. |
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer | 08/01/2022 | |
BRF Investments, LLC., by: /s/ Phillip Ahn, Authorized Signatory | 08/01/2022 | |
/s/ Bryant R. Riley | 08/01/2022 | |
** 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 Number. |