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ERock (EROC) director details major indirect voting and equity interests

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

ERock, Inc. director and 10% owner Hans Kobler has filed an initial ownership report showing significant indirect interests in multiple equity classes. Indirectly held securities include 89,396,416 shares of Class B Common Stock and related Class B Units of Enchanted Rock Holdings LLC, each paired one-for-one and providing one vote per share with no economic value.

The filing also reports 107,739 Class M Units of ER Holdings, all vested and treated as profits interests that are ultimately convertible into Class B Units and then Class A Common Stock. These securities are directly held by EIP Flagship Fund I ER Holdings LLC, and may be deemed beneficially owned with shared voting and investment power through a chain of investment entities, with each investment committee member disclaiming beneficial ownership beyond their pecuniary interest.

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Insider Kobler Hans
Role null
Type Security Shares Price Value
holding Class B Units -- -- --
holding Class M Units -- -- --
holding Class B Common Stock -- -- --
Holdings After Transaction: Class B Units — 89,396,416 shares (Indirect, See Footnotes); Class M Units — 107,739 shares (Indirect, See Footnotes); Class B Common Stock — 89,396,416 shares (Indirect, See Footnotes)
Footnotes (1)
  1. Shares of the Issuer's Class B common stock ("Class B Common Stock") have no economic value and have one vote per share. One share of Class B Common Stock is issued for each Class B Unit ("Class B Units") of Enchanted Rock Holdings LLC ("ER Holdings") held. Upon an exchange of Class B Units for shares of the Issuer's Class A common stock ("Class A Common Stock"), an equivalent number of shares of Class B Common Stock held by such holder will be automatically cancelled. These securities are directly held by EIP Flagship Fund I ER Holdings LLC ("Flagship"). Each of EIF ER Holdings LLC ("EIF ER Holdings", as the sole owner of Flagship), Energy Impact Fund (FT-D) LP ("FT-D", as owner of EIF ER Holdings), Energy Impact Partners LLC ("EIP LLC", as the managing member of EIF ER Holdings and the general partner of FT-D) and the Reporting Person, a nominee to the Issuer's Board of Directors ("Board") (as the managing member of EIP LLC), may also be deemed to be the beneficial owners having shared voting power and shared investment power of the securities held by Flagship. Voting and investment decisions with respect to the securities described in this Form 3 are made by the investment committee of EIP LLC, which comprises seven individuals, including the Reporting Person, Lindsay Luger and Sameer Reddy, each of whom is a nominee to the Issuer's Board. Each member of this investment committee disclaims beneficial ownership of all securities described by this Form 3 except to the extent of his or her pecuniary interest therein. The Class B Units are exchangeable, at the holder's option, on a one-for-one basis into shares of Class A Common Stock. Reflect Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of a vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. All of these Class M Units have vested.
Indirect Class B holdings 89,396,416 shares Total Class B Common Stock/Class B Units indirectly held as of transaction date
Class M Units 107,739 units Vested Class M Units of ER Holdings, indirectly held
Class M underlying Class A 107,739 shares Underlying Class A Common Stock for Class M Units
Class B Units underlying Class A 89,396,416 shares Underlying Class A Common Stock for Class B Units on one-for-one basis
Exercise price for units $0.0000 Conversion/exercise price reported for Class M and Class B Units
Holding entries 3 holdings Number of holding entries reported in transaction summary
Unknown transaction records 3 records Transactions classified as holdings with unknown codes
Class B Common Stock financial
"Shares of the Issuer's Class B common stock ("Class B Common Stock") have no economic value and have one vote per share."
A class B common stock is one of multiple types of a company’s ordinary shares that carries specific rights—often different voting power or dividend priority—compared with other classes. For investors it matters because those differences affect how much influence you have over company decisions, the income you might receive, and how freely the shares trade; think of it like owning a car with different keys: some keys let you start the engine and open the trunk, others only unlock the door.
Class M Units financial
"Reflect Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes."
profits interests financial
"Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes."
beneficial owners financial
"may also be deemed to be the beneficial owners having shared voting power and shared investment power of the securities held by Flagship."
Beneficial owners are the people or entities that actually enjoy the economic benefits and control of shares or other assets, even when legal title is held by someone else such as a broker, custodian or trustee. Investors pay attention because beneficial owners hold the real voting power, receive dividends and can influence strategy and takeover outcomes — like the driver of a car who uses and maintains it while the bank holds the title — so disclosure shows who truly controls and benefits.
pecuniary interest financial
"disclaims beneficial ownership of all securities described by this Form 3 except to the extent of his or her pecuniary interest therein."
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SEC Form 3
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Kobler Hans
(Last)(First)(Middle)
C/O ENERGY IMPACT PARTNERS LLC
600 THIRD AVENUE, 38TH FLOOR
(Street)
NEW YORK NEW YORK 10016
(City)(State)(Zip)
UNITED STATES
(Country)		2. Date of Event Requiring Statement (Month/Day/Year)
06/09/2026		3. Issuer Name and Ticker or Trading Symbol
ERock, Inc. [ EROC ]
3a. Foreign Trading Symbol
5. If Amendment, Date of Original Filed (Month/Day/Year)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirectorX10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class B Common Stock89,396,416(1)ISee Footnotes(2)(3)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Class B Units (4) (4)Class A Common Stock89,396,416(4)ISee Footnotes(2)(3)
Class M Units (4)(5)(6) (4)(5)(6)Class A Common Stock107,739(4)(5)(6)ISee Footnotes(2)(3)
Explanation of Responses:
1. Shares of the Issuer's Class B common stock ("Class B Common Stock") have no economic value and have one vote per share. One share of Class B Common Stock is issued for each Class B Unit ("Class B Units") of Enchanted Rock Holdings LLC ("ER Holdings") held. Upon an exchange of Class B Units for shares of the Issuer's Class A common stock ("Class A Common Stock"), an equivalent number of shares of Class B Common Stock held by such holder will be automatically cancelled.
2. These securities are directly held by EIP Flagship Fund I ER Holdings LLC ("Flagship").
3. Each of EIF ER Holdings LLC ("EIF ER Holdings", as the sole owner of Flagship), Energy Impact Fund (FT-D) LP ("FT-D", as owner of EIF ER Holdings), Energy Impact Partners LLC ("EIP LLC", as the managing member of EIF ER Holdings and the general partner of FT-D) and the Reporting Person, a nominee to the Issuer's Board of Directors ("Board") (as the managing member of EIP LLC), may also be deemed to be the beneficial owners having shared voting power and shared investment power of the securities held by Flagship. Voting and investment decisions with respect to the securities described in this Form 3 are made by the investment committee of EIP LLC, which comprises seven individuals, including the Reporting Person, Lindsay Luger and Sameer Reddy, each of whom is a nominee to the Issuer's Board. Each member of this investment committee disclaims beneficial ownership of all securities described by this Form 3 except to the extent of his or her pecuniary interest therein.
4. The Class B Units are exchangeable, at the holder's option, on a one-for-one basis into shares of Class A Common Stock.
5. Reflect Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of a vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date.
6. All of these Class M Units have vested.
Remarks:
Exhibit 24 - Power of Attorney
/s/ Daniel Reichert, as attorney-in-fact for Hans Kobler06/09/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What does ERock (EROC) director Hans Kobler report owning on this Form 3?

Hans Kobler reports large indirect holdings, including 89,396,416 shares of Class B Common Stock and related Class B Units, plus 107,739 Class M Units of ER Holdings, all ultimately linked to Class A Common Stock through exchange and conversion features.

How are ERock (EROC) Class B Common Stock and Class B Units structured?

Each Class B Unit of ER Holdings corresponds to one share of ERock’s Class B Common Stock, which has one vote per share but no economic value. When a Class B Unit is exchanged for Class A Common Stock, the corresponding Class B Common Stock share is automatically cancelled.

What are the Class M Units reported in the ERock (EROC) Form 3?

The filing lists 107,739 Class M Units of ER Holdings as profits interests. All are vested and convertible into Class B Units based on distribution formulas, then into Class A Common Stock, giving upside participation without traditional expiration terms described for standard options.

Who directly holds the ERock (EROC) securities reported by Hans Kobler?

The securities are directly held by EIP Flagship Fund I ER Holdings LLC (Flagship). A chain of related entities, including EIF ER Holdings LLC, Energy Impact Fund (FT-D) LP, and Energy Impact Partners LLC, may be deemed beneficial owners through shared voting and investment authority.

How are voting and investment decisions made for the ERock (EROC) holdings?

Voting and investment decisions are made by the investment committee of Energy Impact Partners LLC, which has seven members, including Hans Kobler and two other ERock board nominees. Each committee member disclaims beneficial ownership except to the extent of their pecuniary interest.

Do the Class M Units in the ERock (EROC) filing have an expiration date?

The footnotes state that Class M Units have no expiration date. They function as profits interests, with vested units convertible into Class B Units based on distribution formulas tied to hypothetical asset sale proceeds and applicable threshold amounts.