SEC Form POS AM filed by Evolv Technologies Holdings Inc.
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
to
FORM S-1
UNDER
THE SECURITIES ACT OF 1933
(Exact name of registrant as specified in its charter)
|
Delaware
(State or other jurisdiction of incorporation or
organization) |
| |
7372
(Primary Standard Industrial Classification
Code Number) |
| |
84-4473840
(I.R.S. Employer
Identification Number) |
|
Waltham, Massachusetts 02451
(781) 374-8100
General Counsel
500 Totten Pond Road, 4th Floor
Waltham, Massachusetts 02451
(781) 374-8100
Cleary Gottlieb Steen & Hamilton LLP
650 California St, Suite 2400
San Francisco, CA 94108
(415) 796-4400
(Approximate date of commencement of proposed sale to the public)
|
Large accelerated filer
|
| | ☐ | | | Accelerated filer | | | ☐ | |
|
Non-accelerated filer
|
| | ☒ | | |
Smaller reporting company
|
| | ☒ | |
| | | | | | |
Emerging growth company
|
| | ☐ | |
| | | | | 1 | | | |
| | | | | 2 | | | |
| | | | | 4 | | | |
| | | | | 4 | | | |
| | | | | 5 | | | |
| | | | | 6 | | | |
| | | | | 7 | | | |
| | | | | 8 | | | |
| | | | | 9 | | | |
| | | | | 17 | | | |
| | | | | 28 | | | |
| | | | | 31 | | | |
| | | | | 31 | | |
| | |
Shares and Private
Placement Warrants Beneficially Owned Prior to Offering |
| |
Shares and Private Placement
Warrants Being Offered |
| |
Shares and Private Placement Warrants
Beneficially Owned After the Offering |
| ||||||||||||||||||||||||||||||
Name and Address of Beneficial Owner(1)
|
| |
Shares of
Common Stock |
| |
Private
Placement Warrants |
| |
Number of
Shares of Common Stock Being Offered |
| |
Number of
Private Placement Warrants Being Offered |
| |
Number of
Shares |
| |
Percentage
of Outstanding Common Stock Beneficially Owned |
| |
Number of
Private Placement Warrants |
| ||||||||||||||||||
Alyeska Master Fund, L.P. c/o Maples Corporate Services Limited(2)
|
| | | | 750,000 | | | | | | | | | | | | 750,000 | | | | | | | | | | | | | | | | | | | | | | | |
Adam Deutsch
|
| | | | 67,500 | | | | | | | | | | | | 67,500 | | | | | | | | | | | | | | | | | | | | | | | |
Anil Chitkara
|
| | | | 3,360,756(3) | | | | | | | | | | | | 1,449,599(4) | | | | | | | | | | | | 2,264,670 | | | | | | 1.39% | | | | | |
The Attanasio Revocable Trust dated November 1, 1996(5)
|
| | | | 40,000 | | | | | | | | | | | | 40,000 | | | | | | | | | | | | | | | | | | | | | | | |
BAR Holdings, LLC(6)
|
| | | | 50,000 | | | | | | | | | | | | 50,000 | | | | | | | | | | | | | | | | | | | | | | | |
Berwind Companies, LLC(7)
|
| | | | 129,706 | | | | | | 99,524 | | | | | | 129,706 | | | | | | 99,524 | | | | | | | | | | | | | | | | | |
Blumar, LLC(8)
|
| | | | 389,116 | | | | | | 298,571 | | | | | | 389,116 | | | | | | 298,571 | | | | | | | | | | | | | | | | | |
Brian Pierre Matthis(9)
|
| | | | 67,426 | | | | | | 24,881 | | | | | | 67,426 | | | | | | 24,881 | | | | | | | | | | | | | | | | | |
Bronson Point Master Fund LP(10)
|
| | | | 850,000 | | | | | | | | | | | | 850,000 | | | | | | | | | | | | | | | | | | | | | | | |
Charles M. B. Goldman(11)
|
| | | | 199,853 | | | | | | 49,762 | | | | | | 199,853 | | | | | | 49,762 | | | | | | | | | | | | | | | | | |
| | |
Shares and Private
Placement Warrants Beneficially Owned Prior to Offering |
| |
Shares and Private Placement
Warrants Being Offered |
| |
Shares and Private Placement Warrants
Beneficially Owned After the Offering |
| ||||||||||||||||||||||||||||||
Name and Address of Beneficial Owner(1)
|
| |
Shares of
Common Stock |
| |
Private
Placement Warrants |
| |
Number of
Shares of Common Stock Being Offered |
| |
Number of
Private Placement Warrants Being Offered |
| |
Number of
Shares |
| |
Percentage
of Outstanding Common Stock Beneficially Owned |
| |
Number of
Private Placement Warrants |
| ||||||||||||||||||
Charles T. O’Neill Revocable Trust of 2006
|
| | | | 97,432(12) | | | | | | | | | | | | 112,289(13) | | | | | | | | | | | | | | | | | | | | | | | |
Cohen Family Trust
|
| | | | 1,173,687(14) | | | | | | | | | | | | 1,312,659(15) | | | | | | | | | | | | | | | | | | | | | | | |
Constantinos G. Zioze
|
| | | | 95,567 | | | | | | | | | | | | 107,024(16) | | | | | | | | | | | | | | | | | | | | | | | |
Corsair Capital Partners L.P.(17)
|
| | | | 529,400 | | | | | | | | | | | | 529,400 | | | | | | | | | | | | | | | | | | | | | | | |
Corsair Select, L.P.(18)
|
| | | | 970,600 | | | | | | | | | | | | 970,600 | | | | | | | | | | | | | | | | | | | | | | | |
Data Collective IV, L.P.
|
| | | | 9,681,280(19) | | | | | | | | | | | | 11,871,242(20) | | | | | | | | | | | | | | | | | | | | | | | |
Darrell Edwin Rogers(21)
|
| | | | 32,426 | | | | | | 24,881 | | | | | | 32,426 | | | | | | 24,881 | | | | | | | | | | | | | | | | | |
David A. Waller Revocable Trust dated July 1,
2002(22) |
| | | | 129,706 | | | | | | 99,524 | | | | | | 129,706 | | | | | | 99,524 | | | | | | | | | | | | | | | | | |
Dominique Lejbraandt(23)
|
| | | | 32,426 | | | | | | 24,881 | | | | | | 32,426 | | | | | | 24,881 | | | | | | | | | | | | | | | | | |
Eldridge PIPE Holdings, LLC(24)
|
| | | | 3,200,000 | | | | | | | | | | | | 3,200,000 | | | | | | | | | | | | | | | | | | | | | | | |
Evolve 123 LLC(25)
|
| | | | 40,000 | | | | | | | | | | | | 40,000 | | | | | | | | | | | | | | | | | | | | | | | |
Finback Evolv II, LLC
|
| | | | 1,708,603(26) | | | | | | | | | | | | 1,872,967(27) | | | | | | | | | | | | | | | | | | | | | | | |
Finback Evolv OBH, LLC
|
| | | | 2,547,335(28) | | | | | | | | | | | | 2,842,199(29) | | | | | | | | | | | | | | | | | | | | | | | |
Finback Evolv, LLC
|
| | | | 11,175,821(30) | | | | | | | | | | | | 12,527,377(31) | | | | | | | | | | | | | | | | | | | | | | | |
Gates Frontier, LLC
|
| | | | 18,659,796(32) | | | | | | | | | | | | 16,839,983(33) | | | | | | | | | | | | 3,609,635 | | | | | | 2.21% | | | | | |
General Catalyst Group V, L.P.
|
| | | | 10,796,148(34) | | | | | | | | | | | | 12,396,657(35) | | | | | | | | | | | | | | | | | | | | | | | |
Give Evolv LLC
|
| | | | 517,500 | | | | | | | | | | | | 517,500 | | | | | | | | | | | | | | | | | | | | | | | |
Greek Associates(36)
|
| | | | 100,000 | | | | | | | | | | | | 100,000 | | | | | | | | | | | | | | | | | | | | | | | |
Heather Tarrant(37)
|
| | | | 6,485 | | | | | | 4,976 | | | | | | 6,485 | | | | | | 4,696 | | | | | | | | | | | | | | | | | |
HWK21 LLC(38)
|
| | | | 324,264 | | | | | | 248,810 | | | | | | 324,264 | | | | | | 248,810 | | | | | | | | | | | | | | | | | |
IAM Investments ICAV – O/ Connor Event Driven UCITS Fund(39)
|
| | | | 11,437 | | | | | | | | | | | | 11,437 | | | | | | | | | | | | | | | | | | | | | | | |
Jeffrey C. Walker(40)
|
| | | | 389,116 | | | | | | 298,571 | | | | | | 389,116 | | | | | | 298,571 | | | | | | | | | | | | | | | | | |
Joseph P. Torre & Alice W. Torre(41)
|
| | | | 10,000 | | | | | | | | | | | | 10,000 | | | | | | | | | | | | | | | | | | | | | | | |
John C. Harpole(42)
|
| | | | 12,970 | | | | | | 9,952 | | | | | | 12,970 | | | | | | 9,952 | | | | | | | | | | | | | | | | | |
John Charles Baynes-Reid(43)
|
| | | | 112,970 | | | | | | 9,952 | | | | | | 112,970 | | | | | | 9,952 | | | | | | | | | | | | | | | | | |
John Chory
|
| | | | 8,160 | | | | | | | | | | | | 8,945(44) | | | | | | | | | | | | | | | | | | | | | | | |
Jon Eric Mattson(45)
|
| | | | 97,279 | | | | | | 74,643 | | | | | | 97,279 | | | | | | 74,643 | | | | | | | | | | | | | | | | | |
Kanagaratnam Manoranjan(46)
|
| | | | 15,091 | | | | | | 49,762 | | | | | | 15,091 | | | | | | 49,762 | | | | | | | | | | | | | | | | | |
Kathleen M. Harris(47)
|
| | | | 169,706 | | | | | | 99,524 | | | | | | 169,706 | | | | | | 99,524 | | | | | | | | | | | | | | | | | |
Kepos Alpha Master Fund L.P.(48)
|
| | | | 920,000 | | | | | | | | | | | | 920,000 | | | | | | | | | | | | | | | | | | | | | | | |
Kevin Charlton NHIC LLC(49)
|
| | | | 783,526 | | | | | | 497,618 | | | | | | 783,527 | | | | | | 497,618 | | | | | | | | | | | | | | | | | |
LBIC Ventures LLC(50)
|
| | | | 850,000 | | | | | | | | | | | | 850,000 | | | | | | | | | | | | | | | | | | | | | | | |
Linden Capital L.P.(51)
|
| | | | 500,000 | | | | | | | | | | | | 500,000 | | | | | | | | | | | | | | | | | | | | | | | |
Lux Co-Invest Opportunities, L.P.
|
| | | | 1,973,158(52) | | | | | | | | | | | | 2,203,709(53) | | | | | | | | | | | | | | | | | | | | | | | |
Lux Ventures Cayman III, L.P.
|
| | | | 387,039(54) | | | | | | | | | | | | 433,846(55) | | | | | | | | | | | | | | | | | | | | | | | |
Lux Ventures III Special Founders Fund
L.P. |
| | | | 6,350(56) | | | | | | | | | | | | 7,118(57) | | | | | | | | | | | | | | | | | | | | | | | |
| | |
Shares and Private
Placement Warrants Beneficially Owned Prior to Offering |
| |
Shares and Private Placement
Warrants Being Offered |
| |
Shares and Private Placement Warrants
Beneficially Owned After the Offering |
| ||||||||||||||||||||||||||||||
Name and Address of Beneficial Owner(1)
|
| |
Shares of
Common Stock |
| |
Private
Placement Warrants |
| |
Number of
Shares of Common Stock Being Offered |
| |
Number of
Private Placement Warrants Being Offered |
| |
Number of
Shares |
| |
Percentage
of Outstanding Common Stock Beneficially Owned |
| |
Number of
Private Placement Warrants |
| ||||||||||||||||||
Lux Ventures III, L.P.
|
| | | | 10,524,565(58) | | | | | | | | | | | | 11,797,361(59) | | | | | | | | | | | | | | | | | | | | | | | |
Magnetar Financial LLC(60)
|
| | | | 4,363,175 | | | | | | 570,000 | | | | | | 4,363,175 | | | | | | 570,000 | | | | | | | | | | | | | | | | | |
Mallikha Samuel(61)
|
| | | | 15,091 | | | | | | 49,762 | | | | | | 15,091 | | | | | | 49,762 | | | | | | | | | | | | | | | | | |
Mary Ellen Neylon Revocable Trust of
2006 |
| | | | 97,432(62) | | | | | | | | | | | | 118,289(63) | | | | | | | | | | | | | | | | | | | | | | | |
Matthew Headington(64)
|
| | | | 129,706 | | | | | | 99,524 | | | | | | 129,706 | | | | | | 99,524 | | | | | | | | | | | | | | | | | |
Michael Ellenbogen
|
| | | | 2,235,096(65) | | | | | | | | | | | | 2,847,319(66) | | | | | | | | | | | | | | | | | | | | | | | |
Mint Tower Capital Management B.V.(67)
|
| | | | 402,950 | | | | | | 380,000 | | | | | | 402,950 | | | | | | 380,000 | | | | | | | | | | | | | | | | | |
MMF LT, LLC c/o Moore Capital Management, LP(68)
|
| | | | 500,000 | | | | | | | | | | | | 500,000 | | | | | | | | | | | | | | | | | | | | | | | |
Motorola Solutions, Inc.
|
| | | | 5,845,749(69) | | | | | | | | | | | | 5,939,979(70) | | | | | | | | | | | | | | | | | | | | | | | |
Neil Douglas Glat
|
| | | | 216,550 | | | | | | 99,524 | | | | | | 164,706 | | | | | | 99,524 | | | | | | | | | | | | | | | | | |
Newhold Enterprises LLC
|
| | | | 1,050,568 | | | | | | | | | | | | 1,050,568 | | | | | | | | | | | | | | | | | | | | | | | |
Nineteen77 Global Merger Arbitrage Master Limited(71)
|
| | | | 1,846,621 | | | | | | 285,000 | | | | | | 1,846,621 | | | | | | 285,000 | | | | | | | | | | | | | | | | | |
Nineteen77 Global Merger Arbitrage Opportunity Fund(72)
|
| | | | 241,220) | | | | | | | | | | | | 241,220 | | | | | | | | | | | | | | | | | | | | | | | |
Nineteen77 Global Multi-Strategy Alpha Master Limited(73)
|
| | | | 1,721,409 | | | | | | 285,000 | | | | | | 1,721,409 | | | | | | 285,000 | | | | | | | | | | | | | | | | | |
Pacific Premier Bank Custodian FBO James D. Kallman(74)
|
| | | | 97,279 | | | | | | 74,643 | | | | | | 97,279 | | | | | | 74,643 | | | | | | | | | | | | | | | | | |
Patrick John Ennis
|
| | | | 148,385 | | | | | | | | | | | | 166,007(75) | | | | | | | | | | | | | | | | | | | | | | | |
Peter George
|
| | | | 6,856,753(76) | | | | | | | | | | | | 1,287,274(77) | | | | | | | | | | | | 6,223,326 | | | | | | 3.810% | | | | | |
Peter M. Miller, Trustee of E Ventures Trust dated September 12, 2019
|
| | | | 2,259,987(78) | | | | | | | | | | | | 2,533,300(79) | | | | | | | | | | | | | | | | | | | | | | | |
Peyton W Manning Revocable Trust(80)
|
| | | | 75,000 | | | | | | | | | | | | 75,000 | | | | | | | | | | | | | | | | | | | | | | | |
Prentice Capital/Broad band(81)
|
| | | | 2,425,000 | | | | | | | | | | | | 2,425,000 | | | | | | | | | | | | | | | | | | | | | | | |
Rockledge Associates, LLC(82)
|
| | | | 453,969 | | | | | | 348,333 | | | | | | 453,969 | | | | | | 348,333 | | | | | | | | | | | | | | | | | |
Sean P. Madden(83)
|
| | | | 64,853 | | | | | | 49,762 | | | | | | 64,853 | | | | | | 49,762 | | | | | | | | | | | | | | | | | |
Selvakumar Buvanendaran(84)
|
| | | | 259,411 | | | | | | 199,048 | | | | | | 259,411 | | | | | | 199,048 | | | | | | | | | | | | | | | | | |
Senator Global Opportunity Master Fund L.P.(85)
|
| | | | 3,000,000 | | | | | | | | | | | | 3,000,000 | | | | | | | | | | | | | | | | | | | | | | | |
Sezaneh Taherian(86)
|
| | | | 64,926 | | | | | | 24,881 | | | | | | 64,926 | | | | | | 24,881 | | | | | | | | | | | | | | | | | |
SineWave Ventures Direct 5, L.P.
|
| | | | 462,613(87) | | | | | | | | | | | | 518,559(88) | | | | | | | | | | | | | | | | | | | | | | | |
SineWave Ventures Direct 5A, L.P.
|
| | | | 1,277,384(89) | | | | | | | | | | | | 1,431,865(89) | | | | | | | | | | | | | | | | | | | | | | | |
SineWave Ventures Direct 5B, L.P.
|
| | | | 301,040(91) | | | | | | | | | | | | 329,999(92) | | | | | | | | | | | | | | | | | | | | | | | |
SineWave Ventures Fund I L.P.
|
| | | | 5,378,095(93) | | | | | | | | | | | | 6,028,499(94) | | | | | | | | | | | | | | | | | | | | | | | |
Singapore Innovate Pte Ltd
|
| | | | 113,070(95) | | | | | | | | | | | | 123,947(96) | | | | | | | | | | | | | | | | | | | | | | | |
Stanley Black & Decker, Inc.
|
| | | | 3,102,958(97) | | | | | | | | | | | | 3,478,216(98) | | | | | | | | | | | | | | | | | | | | | | | |
Susan Quinn
|
| | | | 5,000 | | | | | | | | | | | | 5,000 | | | | | | | | | | | | | | | | | | | | | | | |
| | |
Shares and Private
Placement Warrants Beneficially Owned Prior to Offering |
| |
Shares and Private Placement
Warrants Being Offered |
| |
Shares and Private Placement Warrants
Beneficially Owned After the Offering |
| ||||||||||||||||||||||||
Name and Address of Beneficial Owner(1)
|
| |
Shares of
Common Stock |
| |
Private
Placement Warrants |
| |
Number of
Shares of Common Stock Being Offered |
| |
Number of
Private Placement Warrants Being Offered |
| |
Number of
Shares |
| |
Percentage
of Outstanding Common Stock Beneficially Owned |
| |
Number of
Private Placement Warrants |
| ||||||||||||
Thomas J. Sullivan(99)
|
| | | | 309,411 | | | | | | 199,048 | | | | | | 309,411 | | | | | | 199,048 | | | | | | | | | | | |
Timothy K. Wilson(100)
|
| | | | 64,853 | | | | | | 49,762 | | | | | | 64,853 | | | | | | 49,762 | | | | | | | | | | | |
Todd A Dunn(101)
|
| | | | 64,853 | | | | | | 49,762 | | | | | | 64,853 | | | | | | 49,762 | | | | | | | | | | | |
Theo Epstein(102)
|
| | | | 25,000 | | | | | | | | | | | | 25,000 | | | | | | | | | | | | | | | | | |
Trustees of the Ellenbogen Family Horizon Trust dated December 30, 2015
|
| | | | 151,135(103) | | | | | | | | | | | | 169,413(104) | | | | | | | | | | | | | | | | | |
Underwood Family Trust(105)
|
| | | | 15,000 | | | | | | | | | | | | 15,000 | | | | | | | | | | | | | | | | | |
VP Company Investments 2018, LLC
|
| | | | 8,160(106) | | | | | | | | | | | | 8,945(107) | | | | | | | | | | | | | | | | | |
XN Exponent Master Fund LP(108)
|
| | | | 1,800,000 | | | | | | | | | | | | 1,800,000 | | | | | | | | | | | | | | | | | |
| | |
Amount
|
| |||
Securities and Exchange Commission registration fee
|
| | | $ | | | |
Accountants’ fees and expenses
|
| | | $ | | | |
Legal fees and expenses
|
| | | $ | | | |
Miscellaneous
|
| | | $ | | | |
Total expenses
|
| | | $ | | | |
Exhibit
No. |
| | | | |
Incorporated by Reference
|
| |
Filed
Herewith |
| |||||||||
|
Description
|
| |
Form
|
| |
File Number
|
| |
Exhibit
|
| |
Filing Date
|
| |||||
3.1 | | | | |
Form 10-Q
|
| |
001-39417
|
| |
3.1
|
| |
November 15, 2021
|
| | | | |
3.2 | | | | |
Form 8-K
|
| |
001-39417
|
| |
3.1
|
| |
January 31, 2024
|
| | | | |
4.1 | | | | |
Form S-4/A
|
| |
333-255017
|
| |
4.4
|
| |
June 9, 2021
|
| | | | |
4.2 | | | | |
Form S-1/A
|
| |
333-233299
|
| |
4.3
|
| |
27, 2020
|
| | | | |
4.3 | | | | |
Form S-1/A
|
| |
333-233299
|
| |
4.4
|
| |
July 27, 2020
|
| | | |
Exhibit
No. |
| | | | |
Incorporated by Reference
|
| |
Filed
Herewith |
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|
Description
|
| |
Form
|
| |
File Number
|
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Exhibit
|
| |
Filing Date
|
| |||||
4.4 | | | | |
Form 10-K
|
| |
001-39417
|
| |
4.4
|
| |
March 28, 2022
|
| | | | |
4.5 | | | | |
Form 10-K
|
| |
001-39417
|
| |
10.9
|
| |
March 24, 2023
|
| | | | |
5.1 | | | | | | | | | | | | | | | | |
**
|
| |
21.1 | | | | |
Form 10-K
|
| | | | |
21.1
|
| |
March 28, 2022
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| | | | |
23.1 | | | | | | | | | | | | | | | | |
*
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23.3 | | | | | | | | | | | | | | | | |
**
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24.1 | | | | | | | | | | | | | | | | |
*
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President and Chief Executive Officer
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Signature
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Title
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Date
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/s/ John Kedzierski
John Kedzierski
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| | President, Chief Executive Officer and Director (principal executive officer) | | |
July 1, 2025
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/s/ George C. Kutsor
George C. Kutsor
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| |
Chief Financial Officer (principal financial officer)
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| |
July 1, 2025
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/s/ Neil Glat
Neil Glat
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| | Chairman of the Board | | |
July 1, 2025
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/s/ Kevin Charlton
Kevin Charlton
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| | Director | | |
July 1, 2025
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/s/ Michael Ellenbogen
Michael Ellenbogen
|
| | Director | | |
July 1, 2025
|
|
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/s/ David Mounts Gonzales
David Mounts Gonzales
|
| | Director | | |
July 1, 2025
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|
/s/ Rajan Naik
Rajan Naik, Ph.D.
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| | Director | | |
July 1, 2025
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|
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/s/ Richard Shapiro
Richard Shapiro
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| | Director | | |
July 1, 2025
|
|
|
/s/ Kimberly Sheehy
Kimberly Sheehy
|
| | Director | | |
July 1, 2025
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|
|
Signature
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| |
Title
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| |
Date
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|
|
/s/ Mark Sullivan
Mark Sullivan
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| | Director | | |
July 1, 2025
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|
/s/ Bilal Zuberi
Bilal Zuberi
|
| | Director | | |
July 1, 2025
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|