0001104659-23-038356.txt : 20230329 0001104659-23-038356.hdr.sgml : 20230329 20230329164043 ACCESSION NUMBER: 0001104659-23-038356 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230327 FILED AS OF DATE: 20230329 DATE AS OF CHANGE: 20230329 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALEXANDER LAURENCE CENTRAL INDEX KEY: 0001418236 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39982 FILM NUMBER: 23775732 MAIL ADDRESS: STREET 1: C/O ROK ENTERTAINMENT GROUP ROK HOUSE STREET 2: HOLYHEAD ROAD, ALBRIGHTON CITY: WOLVERHAMPTON STATE: X0 ZIP: WV7 3AU ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Energy Vault Holdings, Inc. CENTRAL INDEX KEY: 0001828536 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 853230987 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4360 PARK TERRACE DRIVE STREET 2: SUITE 100 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 BUSINESS PHONE: 805-852-0000 MAIL ADDRESS: STREET 1: 4360 PARK TERRACE DRIVE STREET 2: SUITE 100 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 FORMER COMPANY: FORMER CONFORMED NAME: Novus Capital Corp II DATE OF NAME CHANGE: 20201015 4 1 tm2310909-1_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-03-27 0 0001828536 Energy Vault Holdings, Inc. NRGV 0001418236 ALEXANDER LAURENCE 4360 PARK TERRACE DRIVE, SUITE 100 WESTLAKE VILLAGE CA 91361 0 1 0 0 Chief Marketing Officer 0 Common Stock 2023-03-27 4 M 0 168750 0 A 1075208 D Common Stock 2023-03-27 4 F 0 79312 3.34 D 995896 D Restricted Stock Unit 2023-03-27 4 M 0 168750 0 D Common Stock 168750 0 D The Reporting Person has reported prior awards of restricted stock units in Table II of Form 4. As of the date of this filing, the total reported in Column 5 includes an aggregate of 906,458 restricted stock units ("RSUs") previously reported in Table II. The Reporting Person was granted RSUs, which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the Issuer. /s/ Timothy Maloche, Attorney-in-Fact 2023-03-29