0001213900-23-043930.txt : 20230530 0001213900-23-043930.hdr.sgml : 20230530 20230530145929 ACCESSION NUMBER: 0001213900-23-043930 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230525 FILED AS OF DATE: 20230530 DATE AS OF CHANGE: 20230530 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Griffin Kevin CENTRAL INDEX KEY: 0001766124 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38971 FILM NUMBER: 23975435 MAIL ADDRESS: STREET 1: C/O PIVOTAL ACQUISITION CORP. STREET 2: C/O GRAUBARD MILLER, 405 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10174 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SPRUCE POWER HOLDING CORP CENTRAL INDEX KEY: 0001772720 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 834109918 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 47000 LIBERTY DRIVE CITY: WIXOM STATE: MI ZIP: 48393 BUSINESS PHONE: 6177180329 MAIL ADDRESS: STREET 1: 47000 LIBERTY DRIVE CITY: WIXOM STATE: MI ZIP: 48393 FORMER COMPANY: FORMER CONFORMED NAME: XL Fleet Corp. DATE OF NAME CHANGE: 20201223 FORMER COMPANY: FORMER CONFORMED NAME: Pivotal Investment Corp II DATE OF NAME CHANGE: 20190403 4 1 ownership.xml X0407 4 2023-05-25 0 0001772720 SPRUCE POWER HOLDING CORP SPRU 0001766124 Griffin Kevin 1875 LAWRENCE STREET, SUITE 320 DENVER CO 80202 1 0 0 0 0 Common Stock 2023-05-25 4 A 0 202812 0.00 A 312804 D Common Stock 3505000 I By MGG SF Drawdown Unlevered Fund II LP Common Stock 630000 I By MGG Investment Group, LP The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 25, 2024. Includes 3,505,000 shares of common stock held by MGG SF Drawdown Unlevered Fund II LP ("MGG Fund"), of which the reporting person is the Chief Executive Officer and Chief Investment Officer. Notwithstanding his dispositive and voting control over such shares, the reporting person disclaims beneficial ownership of the shares of our common stock held by MGG Fund, except to the extent of his proportionate pecuniary interest therein. Includes 630,000 shares of the issuer's common stock ("MGG Shares") in the aggregate owned directly by certain affiliates of MGG Investment Group, LP, a Delaware limited partnership ("MGG"), an affiliate of Spac Funding II, of which Mr. Griffin (a director of the issuer) is the Chief Executive Officer and Chief Investment Officer. Notwithstanding their dispositive and voting control over such MGG Shares, each of Mr. Griffin and Spac Funding II disclaim beneficial ownership of the securities held by MGG, except to the extent of his or its pecuniary interest therein. /s/ Stacey Constas, Attorney In Fact 2023-05-30