美国
证券和交易所委员会
华盛顿特区20549
13D附表
根据1934年证券交易法
(第二次修正)*
NUVVE HOLDING CORP。
(发行人名称)
每股普通股,面值$0.0001
06777U101
67079Y 100
(CUSIP编号)
阿德里安·桑德斯
高级常务董事, 总法律顾问和首席合规官
寄:Stonepeak Partners 有限合伙
55号哈德孙码头
550 W. 34th Street, 48楼
纽约市10001号
212-907-5100
(提交人的名称、地址和电话号码
被授权接收 通知和通信
2024年10月15日
(需要提交此声明的活动日期)
如果申报人此前已提交13G表格报告本13D表格所涉收购事项,并且出于§§240.13d-1(e)、240.13d-1(f)或240.13d-1(g)的原因提交此表格,请勾选以下方框。 ¨
注意:以纸质形式提交的日程安排应包括一个签署原件和五份附表的日程表副本。请参阅第13d-7条规定,了解需要发送副本的其他相关方。
* 本封面的其余部分应填写,用于报告人初次填写此表格,涉及主体证券类别,并且对于包含会改变之前封面所提供信息的信息的任何后续修正。
在本封面剩余部分所需的信息不应被视为《证券交易法》第18条的“申报”,也不应受该法规定部分的责任,但应受该法的所有其他规定约束(但请参阅备注)。
1 | 报告人名称 | ||||
STONEPEAK GP INVESTORS HOLDINGS LP | |||||
2 | 如果属于某个团体,请选择适当的格子 | (a) | ¨ | ||
(b) | x | ||||
3 | 仅供SEC使用 | ||||
4 | 资金来源(请参见说明) | ||||
AF | |||||
5 | 如果根据2(D)或2(E)项需要披露法律诉讼,请选择格子 | ¨ | |||
6 | 公民身份或组织地点 | ||||
特拉华州 | |||||
股票数量 股份 受益所有权 拥有 每个报告人拥有的数量 股东拥有的股票数 持有人为 |
7 | 唯一拥有投票权的股份数量 | |||
0 | |||||
8 | 具有共同投票权 | ||||
0 | |||||
9 | 具有唯一处理权 | ||||
0 | |||||
10 | 具有共同处理权 | ||||
0 | |||||
11 | 每个报告人拥有的受益股份总数 | ||||
0 | |||||
12 | ¨ | ||||
13 | 在行(11)中占类别的比例 | ||||
0.0% | |||||
14 | 报告人类型(参见说明) | ||||
PN,HC | |||||
1 | 报告人名称 | ||||
STONEPEAK GP投资者上层控股有限合伙 | |||||
2 | 如果是集团成员,请勾选适当的框 | (a) | ¨ | ||
(b) | x | ||||
3 | 仅供SEC使用 | ||||
4 | 资金来源(请参见说明) | ||||
AF | |||||
5 | 如果根据2(D)或2(E)条款需要披露法律诉讼,请勾选框 | ¨ | |||
6 | 公民身份或组织地点 | ||||
特拉华州 | |||||
股票数量 股份 受益所有权 拥有 每个报告人拥有的数量 股东拥有的股票数 持有人为 |
7 | 唯一拥有投票权的股份数量 | |||
0 | |||||
8 | 具有共同投票权 | ||||
0 | |||||
9 | 具有唯一处理权 | ||||
0 | |||||
10 | 具有共同处理权 | ||||
0 | |||||
11 | 每个报告人拥有的受益股份总数 | ||||
0 | |||||
12 | ¨ | ||||
13 | 在行(11)中占类别的比例 | ||||
0.0% | |||||
14 | 报告人类型(见说明书) | ||||
PN,HC | |||||
3
1 | 报告人名称 | ||||
STONEPEAK GP投资者控股经理有限责任公司 | |||||
2 | 如果是集团的一员,请勾选适当的框 | (a) | ¨ | ||
(b) | x | ||||
3 | 仅供SEC使用 | ||||
4 | 资金来源(请参见说明) | ||||
AF | |||||
5 | 如果根据2(D)或2(E)条款需要披露法律诉讼,请勾选框 | ¨ | |||
6 | 公民身份或组织地点 | ||||
特拉华州 | |||||
股票数量 股份 受益所有权 拥有 每个报告人拥有的数量 股东拥有的股票数 持有人为 |
7 | 唯一拥有投票权的股份数量 | |||
0 | |||||
8 | 具有共同投票权 | ||||
0 | |||||
9 | 具有唯一处理权 | ||||
0 | |||||
10 | 具有共同处理权 | ||||
0 | |||||
11 | 每个报告人拥有的受益股份总数 | ||||
0 | |||||
12 | ¨ | ||||
13 | 在行(11)中占类别的比例 | ||||
0.0% | |||||
14 | 报告人类型(请参见说明) | ||||
OO,HC | |||||
4
1 | 报告人名称 | ||||
STONEPEAK ROCKEt HOLDINGS II LP | |||||
2 | 如果是团体的成员,请勾选适当的方框 | (a) | ¨ | ||
(b) | x | ||||
3 | 仅供SEC使用 | ||||
4 | 资金来源(请参见说明) | ||||
未知 | |||||
5 | 如果根据2(D)或2(E)项需要披露法律诉讼,请勾选方框 | ¨ | |||
6 | 公民身份或组织地点 | ||||
特拉华州 | |||||
股票数量 股份 受益所有权 拥有 每个报告人拥有的数量 股东拥有的股票数 持有人为 |
7 | 唯一拥有投票权的股份数量 | |||
0 | |||||
8 | 具有共同投票权 | ||||
0 | |||||
9 | 具有唯一处理权 | ||||
0 | |||||
10 | 具有共同处理权 | ||||
0 | |||||
11 | 每个报告人拥有的受益股份总数 | ||||
0 | |||||
12 | ¨ | ||||
13 | 在行(11)中占类别的比例 | ||||
0.0% | |||||
14 | 报告人类型(请参见说明) | ||||
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