美國
證券和交易所委員會
華盛頓特區20549
13D附表
根據1934年證券交易法
(第二次修正)*
NUVVE HOLDING CORP。
(發行人名稱)
每股普通股,面值$0.0001
(班級標題 證券)
67079Y 100
(CUSIP編號)
阿德里安·桑德斯
高級常務董事, 總法律顧問和首席合規官
寄:Stonepeak Partners 有限合夥
55號哈德孫碼頭
550 W. 34th Street, 48樓
紐約市10001號
212-907-5100
(提交人的名稱、地址和電話號碼
被授權接收 通知和通信
2024年10月15日
(需要提交此聲明的活動日期)
如果申報人此前已提交13G表格報告本13D表格所涉收購事項,並且出於§§240.13d-1(e)、240.13d-1(f)或240.13d-1(g)的原因提交此表格,請勾選以下方框。 ¨
注意:以紙質形式提交的日程安排應包括一個簽署原件和五份附表的日程表副本。請參閱第13d-7條規定,了解需要發送副本的其他相關方。
* 本封面的其餘部分應填寫,用於報告人初次填寫此表格,涉及主體證券類別,並且對於包含會改變之前封面所提供信息的信息的任何後續修正。
在本封面剩餘部分所需的信息不應被視爲《證券交易法》第18條的「申報」,也不應受該法規定部分的責任,但應受該法的所有其他規定約束(但請參閱備註)。
1 | 報告人名稱 | ||||
STONEPEAK GP INVESTORS HOLDINGS LP | |||||
2 | 如果屬於某個團體,請選擇適當的格子 | (a) | ¨ | ||
(b) | x | ||||
3 | 僅供SEC使用 | ||||
4 | 資金來源(請參見說明) | ||||
AF | |||||
5 | 如果根據2(D)或2(E)項需要披露法律訴訟,請選擇格子 | ¨ | |||
6 | 公民身份或組織地點 | ||||
特拉華州 | |||||
股票數量 股份 受益所有權 擁有 每個報告人擁有的數量 股東擁有的股票數 持有人爲 |
7 | 唯一擁有投票權的股份數量 | |||
0 | |||||
8 | 具有共同投票權 | ||||
0 | |||||
9 | 具有唯一處理權 | ||||
0 | |||||
10 | 具有共同處理權 | ||||
0 | |||||
11 | 每個報告人擁有的受益股份總數 | ||||
0 | |||||
12 | ¨ | ||||
13 | 在行(11)中佔類別的比例 | ||||
0.0% | |||||
14 | 報告人類型(參見說明) | ||||
PN,HC | |||||
1 | 報告人名稱 | ||||
STONEPEAK GP投資者上層控股有限合夥 | |||||
2 | 如果是集團成員,請勾選適當的框 | (a) | ¨ | ||
(b) | x | ||||
3 | 僅供SEC使用 | ||||
4 | 資金來源(請參見說明) | ||||
AF | |||||
5 | 如果根據2(D)或2(E)條款需要披露法律訴訟,請勾選框 | ¨ | |||
6 | 公民身份或組織地點 | ||||
特拉華州 | |||||
股票數量 股份 受益所有權 擁有 每個報告人擁有的數量 股東擁有的股票數 持有人爲 |
7 | 唯一擁有投票權的股份數量 | |||
0 | |||||
8 | 具有共同投票權 | ||||
0 | |||||
9 | 具有唯一處理權 | ||||
0 | |||||
10 | 具有共同處理權 | ||||
0 | |||||
11 | 每個報告人擁有的受益股份總數 | ||||
0 | |||||
12 | ¨ | ||||
13 | 在行(11)中佔類別的比例 | ||||
0.0% | |||||
14 | 報告人類型(見說明書) | ||||
PN,HC | |||||
3
1 | 報告人名稱 | ||||
STONEPEAK GP投資者控股經理有限責任公司 | |||||
2 | 如果是集團的一員,請勾選適當的框 | (a) | ¨ | ||
(b) | x | ||||
3 | 僅供SEC使用 | ||||
4 | 資金來源(請參見說明) | ||||
AF | |||||
5 | 如果根據2(D)或2(E)條款需要披露法律訴訟,請勾選框 | ¨ | |||
6 | 公民身份或組織地點 | ||||
特拉華州 | |||||
股票數量 股份 受益所有權 擁有 每個報告人擁有的數量 股東擁有的股票數 持有人爲 |
7 | 唯一擁有投票權的股份數量 | |||
0 | |||||
8 | 具有共同投票權 | ||||
0 | |||||
9 | 具有唯一處理權 | ||||
0 | |||||
10 | 具有共同處理權 | ||||
0 | |||||
11 | 每個報告人擁有的受益股份總數 | ||||
0 | |||||
12 | ¨ | ||||
13 | 在行(11)中佔類別的比例 | ||||
0.0% | |||||
14 | 報告人類型(請參見說明) | ||||
OO,HC | |||||
4
1 | 報告人名稱 | ||||
STONEPEAK ROCKEt HOLDINGS II LP | |||||
2 | 如果是團體的成員,請勾選適當的方框 | (a) | ¨ | ||
(b) | x | ||||
3 | 僅供SEC使用 | ||||
4 | 資金來源(請參見說明) | ||||
未知 | |||||
5 | 如果根據2(D)或2(E)項需要披露法律訴訟,請勾選方框 | ¨ | |||
6 | 公民身份或組織地點 | ||||
特拉華州 | |||||
股票數量 股份 受益所有權 擁有 每個報告人擁有的數量 股東擁有的股票數 持有人爲 |
7 | 唯一擁有投票權的股份數量 | |||
0 | |||||
8 | 具有共同投票權 | ||||
0 | |||||
9 | 具有唯一處理權 | ||||
0 | |||||
10 | 具有共同處理權 | ||||
0 | |||||
11 | 每個報告人擁有的受益股份總數 | ||||
0 | |||||
12 | ¨ | ||||
13 | 在行(11)中佔類別的比例 | ||||
0.0% | |||||
14 | 報告人類型(請參見說明) | ||||
PN | |||||
5
1 | NAMES OF REPORTING PERSONS | ||||
STONEPEAK ASSOCIATES IV LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ¨ | ||
(b) | x | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||
OO | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | ¨ | |||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 | SOLE VOTING POWER | |||
0 | |||||
8 | SHARED VOTING POWER | ||||
0 | |||||
9 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
10 | SHARED DISPOSITIVE POWER | ||||
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
0 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ¨ | |||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||
0.0% | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO, HC | |||||
6
1 | NAMES OF REPORTING PERSONS | ||||
STONEPEAK GP INVESTORS IV LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ¨ | ||
(b) | x | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||
OO | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | ¨ | |||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 | SOLE VOTING POWER | |||
0 | |||||
8 | SHARED VOTING POWER | ||||
0 | |||||
9 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
10 | SHARED DISPOSITIVE POWER | ||||
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
0 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ¨ | |||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||
0.0% | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO, HC | |||||
7
1 | NAMES OF REPORTING PERSONS | ||||
MICHAEL B. DORRELL | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ¨ | ||
(b) | x | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | ¨ | |||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States of America | |||||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 | SOLE VOTING POWER | |||
0 | |||||
8 | SHARED VOTING POWER | ||||
0 | |||||
9 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
10 | SHARED DISPOSITIVE POWER | ||||
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
0 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ¨ | |||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||
0.0% | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN, HC | |||||
8
1 | NAMES OF REPORTING PERSONS | ||||
EVOLVE TRANSITION INFRASTRUCTURE LP | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ¨ | ||
(b) | x | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||
WC | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | ¨ | |||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 | SOLE VOTING POWER | |||
0 | |||||
8 | SHARED VOTING POWER | ||||
0 | |||||
9 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
10 | SHARED DISPOSITIVE POWER | ||||
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
0 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ¨ | |||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||
0.0% | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN | |||||
9
SCHEDULE 13D
This Amendment No. 2 to Schedule 13D (this “Amendment”) amends and supplements (i) the statement on Schedule 13D filed by Stonepeak Rocket Holdings LP, Stonepeak Rocket Upper Holdings LP, Stonepeak Associates IV LLC, Stonepeak GP Investors IV LLC, Stonepeak GP Investors Manager LLC, Michael B. Dorrell and Evolve Transition Infrastructure LP with the Securities and Exchange Commission (the “SEC”) on May 27, 2021, as amended by that certain Amendment No. 1 to Schedule 13D filed with the SEC on August 9, 2021 (the “Initial Schedule 13D”), and (ii) the statement on Schedule 13D filed by Stonepeak GP Investors Holdings LP, Stonepeak GP Investors Upper Holdings LP and Stonepeak GP Investors Holdings Manager LLC, with the SEC on July 7, 2023 (together with the Initial Schedule 13D, the “Original Schedule 13D”) and is being filed by the undersigned, pursuant to §240.13d-2(a), with respect to the common stock, par value $0.0001 per share (the “Common Stock”), of Nuvve Holding Corp., a Delaware corporation (the “Issuer”), whose principal executive offices are located at 2468 Historic Decatur Road, San Diego, CA 92106. Except as specifically provided herein, this Amendment does not modify any of the information previously reported on the Original Schedule 13D. The filing of this Amendment represents the final amendment to this Schedule 13D and constitutes an exit filing for the Reporting Persons. Capitalized terms used but not otherwise defined in this Amendment shall have the meanings ascribed to them in the Original Schedule 13D.
Item 2. | Identity and Background |
Item 2(a) of the Original Schedule 13D is amended and replaced in its entirety with the following:
(a-c,f) This Schedule 13D is filed on behalf of each of the following persons (collectively, the “Reporting Persons”): (i) Stonepeak GP Investors Holdings LP, a Delaware limited partnership, (ii) Stonepeak GP Investors Upper Holdings LP, a Delaware limited partnership, (iii) Stonepeak GP Investors Holdings Manager LLC, a Delaware limited liability company, (iv) Stonepeak Rocket Holdings II LP, a Delaware limited partnership; (v) Stonepeak Associates IV LLC, a Delaware limited liability company; (vi) Stonepeak GP Investors IV LLC, a Delaware limited liability company; (vii) Michael B. Dorrell (“Mr. Dorrell”), a citizen of the United States of America; and (viii) Evolve Transition Infrastructure LP, a Delaware limited partnership (“Evolve”). As a result of the Termination (as defined below), the Reporting Persons no longer hold beneficial ownership of any shares of Common Stock of the Issuer.
This Schedule 13D relates to (i) Warrants, exercisable for shares of Common Stock, previously held by Stonepeak Rocket Holdings II LP and Evolve and (ii) Common Stock previously issuable to Stonepeak Rocket Holdings II LP and Evolve pursuant to the Securities Purchase Agreement (the “Securities Purchase Agreement”), dated as of May 17, 2021, by and among the Issuer, Stonepeak Rocket Holdings LP (who subsequently transferred its rights under the Securities Purchase Agreement to Stonepeak Rocket Holdings II LP) and 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.
Item 3. | Source and Amount of Funds or Other Consideration |
The information set forth in Item 3 of the Original Schedule 13D is amended as follows:
The information set forth in Item 4 of this Amendment is incorporated by reference in its entirety into this Item 3.
Item 4. | Purpose of Transaction |
Item 4 is hereby amended and supplemented by adding the following information:
Effective as of October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, 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 of Stonepeak Rocket Holdings II LP and Evolve irrevocably terminated any and all rights with respect to the securities that are the subject of this Schedule 13D for nominal consideration (the “Termination”).
10
As a result of the Termination, the Reporting Persons no longer hold beneficial ownership of any shares of Common Stock of the Issuer.
Item 5. | Interest in Securities of the Issuer |
The information set forth in Item 5(a) and (c) of the Original Schedule 13D is amended as follows:
(a) As of the date hereof, each of the Reporting Persons may be deemed the beneficial owner of 0 shares of Common Stock, representing 0.0% of the outstanding shares of Common Stock.
(c) The response to Item 4 of this Amendment is incorporated by reference herein. Except as set forth in the Amendment, there were no transactions in shares of Common Stock by the Reporting Persons during the past sixty days.
The information set forth in Item 5(e) of the Original Schedule 13D is amended and replaced in its entirety with the following:
(e) As of the date hereof, the Reporting Persons ceased to be beneficial owners of more than five percent of any class of securities of the Issuer. The filing of this Amendment represents the final amendment to the Schedule 13D and constitutes an exit filing for each of the Reporting Persons.
Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer |
The information set forth in Item 6 of the Original Schedule 13D is amended as follows:
The information set forth in Item 4 of this Amendment is incorporated by reference in its entirety into this Item 6.
Item 7. | Material to be Filed as Exhibits |
Exhibit A to Item 7 in each of the Initial Schedule 13D and the Original Schedule 13D is amended and replaced in its entirety with the following:
Exhibit A: | Joint Filing Agreement |
11
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
STONEPEAK GP INVESTORS HOLDINGS LP | |||
By: | STONEPEAK GP INVESTORS UPPER HOLDINGS LP, | ||
its general partner | |||
By: | STONEPEAK GP INVESTORS HOLDINGS MANAGER LLC, | ||
its general partner | |||
By: | /s/ Michael Dorrell | ||
Name: | Michael Dorrell | ||
Title: | Sole Member |
STONEPEAK GP INVESTORS UPPER HOLDINGS LP | |||
By: | STONEPEAK GP INVESTORS HOLDINGS MANAGER LLC, | ||
its general partner | |||
By: | /s/ Michael Dorrell | ||
Name: | Michael Dorrell | ||
Title: | Sole Member |
STONEPEAK GP INVESTORS HOLDINGS MANAGER LLC | |||
By: | /s/ Michael Dorrell | ||
Name: | Michael Dorrell | ||
Title: | Sole Member |
12
STONEPEAK ROCKET HOLDINGS II LP | |||
By: | STONEPEAK ASSOCIATES IV LLC, | ||
its general partner | |||
By: | STONEPEAK GP INVESTORS IV LLC, | ||
its sole member | |||
By: | STONEPEAK GP INVESTORS HOLDINGS LP, | ||
its managing member | |||
By: | STONEPEAK GP INVESTORS UPPER HOLDINGS LP, | ||
its general partner | |||
By: | STONEPEAK GP INVESTORS HOLDINGS MANAGER LLC, | ||
its general partner | |||
By: | /s/ Michael Dorrell | ||
Name: | Michael Dorrell | ||
Title: | Sole Member |
STONEPEAK ASSOCIATES IV LLC | |||
By: | STONEPEAK GP INVESTORS IV LLC, | ||
its sole member | |||
By: | STONEPEAK GP INVESTORS HOLDINGS LP, | ||
its managing member | |||
By: | STONEPEAK GP INVESTORS UPPER HOLDINGS LP, | ||
its general partner | |||
By: | STONEPEAK GP INVESTORS HOLDINGS MANAGER LLC, | ||
its general partner | |||
By: | /s/ Michael Dorrell | ||
Name: | Michael Dorrell | ||
Title: | Sole Member |
STONEPEAK GP INVESTORS IV LLC | |||
By: | STONEPEAK GP INVESTORS HOLDINGS LP, | ||
its managing member | |||
By: | STONEPEAK GP INVESTORS UPPER HOLDINGS LP, | ||
its general partner | |||
By: | STONEPEAK GP INVESTORS HOLDINGS MANAGER LLC, | ||
its general partner | |||
By: | /s/ Michael Dorrell | ||
Name: | Michael Dorrell | ||
Title: | Sole Member |
/s/ Michael Dorrell | |||
Name: | Michael Dorrell |
13
EVOLVE TRANSITION INFRASTRUCTURE LP | |||
By: | EVOLVE TRANSITION INFRASTRUCTURE GP LLC, | ||
its general partner | |||
By: | SP Holdings, LLC, | ||
its sole member | |||
By: | /s/ Michael Dorrell | ||
Name: | Michael Dorrell | ||
Title: | Authorized Signatory | ||
October 17, 2024 |
Attention: Intentional misstatements or omissions of act constitute federal violations (see 18 U.S.C. 1001).
14