0001104659-22-020669.txt : 20220211 0001104659-22-020669.hdr.sgml : 20220211 20220211171211 ACCESSION NUMBER: 0001104659-22-020669 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220211 FILED AS OF DATE: 20220211 DATE AS OF CHANGE: 20220211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goodman Heather CENTRAL INDEX KEY: 0001812066 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39982 FILM NUMBER: 22622633 MAIL ADDRESS: STREET 1: 8556 OAKMONT LANE CITY: INDIANAPOLIS STATE: IN ZIP: 46260 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Novus Capital Corp II 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: 8556 OAKMONT LANE CITY: INDIANAPOLIS STATE: IN ZIP: 46260 BUSINESS PHONE: 3175906959 MAIL ADDRESS: STREET 1: 8556 OAKMONT LANE CITY: INDIANAPOLIS STATE: IN ZIP: 46260 4 1 tm226292-5_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-02-11 1 0001828536 Novus Capital Corp II NXU 0001812066 Goodman Heather C/O NOVUS CAPITAL CORPORATION II 8556 OAKMONT LANE INDIANAPOLIS IN 46260 1 0 0 0 Class A Common Stock, $0.0001 par value 2022-02-11 4 A 0 30000 10.00 A 30000 D Class A Common Stock, $0.0001 par value 2022-02-11 4 A 0 220000 10.00 A 220000 I See Footnote Class A Common Stock, $0.0001 par value 2022-02-11 4 M 0 161285 0.00 A 191285 D Class B Common Stock, $0.0001 par value 0.00 2022-02-11 4 D 0 130382 0.00 D Class A Common Stock 130382 161285 D Class B Common Stock, $0.0001 par value 0.00 2022-02-11 4 M 0 161285 0.00 D Class A Common Stock 161285 0 D Represents 30,000 shares of Class A common stock purchased from the issuer by Heather Goodman and Doug Raetz as tenants in common in a private placement transaction for $10.00 per share. In connection with the issuer's business combination with Energy Vault, Inc., the issuer changed its name to Energy Vault Holdings, Inc. Represents 220,000 shares of Class A common stock purchased from the issuer by True VC LLC - Series 15 in a private placement transaction for $10.00 per share. The shares are owned directly by True VC LLC - Series 15. Ms. Goodman is a managing member of True VC LLC - Series 15. Ms. Goodman disclaims beneficial ownership of the securities held by True VC LLC - Series 15 except to the extent of her pecuniary interest therein. Upon the consummation of the issuer's business combination with Energy Vault, Inc. on February 11, 2022, 161,285 shares of Class B common stock owned by Heather Goodman and Doug Raetz as tenants in common automatically converted into an equal number of shares of Class A common stock. As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date. Represents the automatic forfeiture of 130,382 shares of Class B common stock for no additional consideration in connection with the closing of the issuer's business combination with Energy Vault, Inc. /s/ Heather Goodman 2022-02-11