ERock (EROC) President Corey Amthor reports multi-class equity and unit holdings

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

ERock, Inc. President Corey Amthor filed an initial ownership report showing significant equity interests in different share classes and units. He holds 4,705,874 Class B Units and an equivalent number of Class B Common Stock shares directly, plus 1,534,876 Class B Units and related Class B Common Stock indirectly through Amthor Family Holdings, Ltd.

The filing also lists indirect holdings of Class M Units in Enchanted Rock Holdings, LLC that are convertible into Class B Units and ultimately Class A Common Stock at exercise prices of $1.61 and $0.15 per unit. Footnotes explain that Class B Common Stock carries voting power but no economic value, and describe detailed vesting schedules for portions of the Class M Units through July 2028, contingent on continued service.

Insider Trade Summary

8 transactions reported

Mixed 8 txns

Insider Amthor Corey

Role President

Type	Security	Shares	Price	Value
holding	Class B Units	--	--	--
holding	Class B Units	--	--	--
holding	Class M Units	--	--	--
holding	Class M Units	--	--	--
holding	Class M Units	--	--	--
holding	Class M Units	--	--	--
holding	Class B Common Stock	--	--	--
holding	Class B Common Stock	--	--	--

Holdings After Transaction: Class B Units — 4,705,874 shares (Direct, null); Class B Units — 1,534,876 shares (Indirect, By Amthor Family Holdings, Ltd.); Class M Units — 149,898 shares (Indirect, By Amthor Family Holdings, Ltd.); Class B Common Stock — 4,705,874 shares (Direct, null); Class B Common Stock — 1,534,876 shares (Indirect, By Amthor Family Holdings, Ltd.)

Footnotes (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. Class B Units are exchangeable, at the holder's option, on a one-for-one basis for shares of Class A Common Stock of the Issuer or cash (at the Issuer's election). 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 the 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. 110,425 of these Class M Units have vested, and the remaining Class M Units vest in 25 equal monthly installments on the first day of each calendar month commencing July 2026 and ending July 2028, subject to the Reporting Person's continuous service to the Issuer. 128,913 of these Class M Units have vested, and the remaining Class M Units vest in 10 equal monthly installments on the first day of each calendar month commencing July 2026 and ending April 2027, subject to the Reporting Person's continuous service to the Issuer. 483,558 of these Class M Units have vested, and the remaining Class M Units vest in 26 equal monthly installments commencing June 28, 2026 and ending July 28, 2028, subject to the Reporting Person's continuous service to the Issuer. 630,573 of these Class M Units have vested, and the remaining Class M Units vest in 30 equal monthly installments commencing June 26, 2026 and ending November 26, 2028, subject to the Reporting Person's continuous service to the Issuer.

Key Figures

Direct Class B Units: 4,705,874 units Indirect Class B Units: 1,534,876 units Direct Class B Common Stock: 4,705,874 shares +5 more

8 metrics

Direct Class B Units 4,705,874 units Class B Units exchangeable into Class A Common Stock

Indirect Class B Units 1,534,876 units Held through Amthor Family Holdings, Ltd.

Direct Class B Common Stock 4,705,874 shares Class B Common Stock with one vote per share

Indirect Class B Common Stock 1,534,876 shares Held through Amthor Family Holdings, Ltd.

Class M Units - $1.61 strike 3,783,440 underlying shares Class M Units convertible into Class B Units at $1.61

Class M Units - $0.15 strike 1,740,823 underlying shares First tranche of Class M Units at $0.15

Additional Class M Units - $0.15 143,903 underlying shares Second smaller tranche at $0.15

Additional Class M Units - $0.15 149,898 underlying shares Third smaller tranche at $0.15

Key Terms

Class B Common Stock, Class B Units, Class M Units, profits interests, +2 more

6 terms

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 B Units financial

"One share of Class B Common Stock is issued for each Class B Unit ("Class B Units") of Enchanted Rock Holdings, LLC."

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 of ER Holdings, which are "profits interests" for U.S. federal income tax purposes."

vesting financial

"110,425 of these Class M Units have vested, and the remaining Class M Units vest in 25 equal monthly installments."

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

exchangeable financial

"Class B Units are exchangeable, at the holder's option, on a one-for-one basis for shares of Class A Common Stock."

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Understanding Insider Trading Forms →

06/09/2026 - 09:21 PM

SEC Form 3

FORM 3

UNITED 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^*

Amthor Corey

(Last)

(First)

(Middle)

C/O EROCK, INC.

1113 VINE STREET, SUITE 101

(Street)

HOUSTON

TEXAS

77002

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	President

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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 Stock	4,705,874⁽¹⁾	D
Class B Common Stock	1,534,876⁽¹⁾	I	By Amthor Family Holdings, Ltd.

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Class B Units	⁽²⁾	⁽²⁾	Class A Common Stock	4,705,874	⁽²⁾	D
Class B Units	⁽²⁾	⁽²⁾	Class A Common Stock	1,534,876	⁽²⁾	I	By Amthor Family Holdings, Ltd.
Class M Units	⁽²⁾⁽³⁾⁽⁴⁾	⁽²⁾⁽³⁾⁽⁴⁾	Class A Common Stock	149,898	$0.15⁽²⁾⁽³⁾⁽⁴⁾	I	By Amthor Family Holdings, Ltd.
Class M Units	⁽²⁾⁽³⁾⁽⁵⁾	⁽²⁾⁽³⁾⁽⁵⁾	Class A Common Stock	143,903	$0.15⁽²⁾⁽³⁾⁽⁵⁾	I	By Amthor Family Holdings, Ltd.
Class M Units	⁽²⁾⁽³⁾⁽⁶⁾	⁽²⁾⁽³⁾⁽⁶⁾	Class A Common Stock	1,740,823	$0.15⁽²⁾⁽³⁾⁽⁶⁾	I	By Amthor Family Holdings, Ltd.
Class M Units	⁽²⁾⁽³⁾⁽⁷⁾	⁽²⁾⁽³⁾⁽⁷⁾	Class A Common Stock	3,783,440	$1.61⁽²⁾⁽³⁾⁽⁷⁾	I	By Amthor Family Holdings, Ltd.

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. Class B Units are exchangeable, at the holder's option, on a one-for-one basis for shares of Class A Common Stock of the Issuer or cash (at the Issuer's election).

3. 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 the 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.

4. 110,425 of these Class M Units have vested, and the remaining Class M Units vest in 25 equal monthly installments on the first day of each calendar month commencing July 2026 and ending July 2028, subject to the Reporting Person's continuous service to the Issuer.

5. 128,913 of these Class M Units have vested, and the remaining Class M Units vest in 10 equal monthly installments on the first day of each calendar month commencing July 2026 and ending April 2027, subject to the Reporting Person's continuous service to the Issuer.

6. 483,558 of these Class M Units have vested, and the remaining Class M Units vest in 26 equal monthly installments commencing June 28, 2026 and ending July 28, 2028, subject to the Reporting Person's continuous service to the Issuer.

7. 630,573 of these Class M Units have vested, and the remaining Class M Units vest in 30 equal monthly installments commencing June 26, 2026 and ending November 26, 2028, subject to the Reporting Person's continuous service to the Issuer.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ Davis Zapffe, Attorney-in-fact for Corey Amthor	06/09/2026
	** Signature of Reporting Person	Date
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 the ERock (EROC) Form 3 filing by Corey Amthor show?

The Form 3 shows Corey Amthor’s initial ownership in ERock, including millions of Class B Units and Class M Units tied to Class A Common Stock. It outlines direct and indirect holdings plus detailed vesting schedules extending into 2028.

How many ERock Class B Units does Corey Amthor report owning on Form 3?

Corey Amthor reports 4,705,874 Class B Units directly and 1,534,876 Class B Units indirectly through Amthor Family Holdings, Ltd. Each Class B Unit is linked one-for-one to Class B Common Stock and is ultimately exchangeable into Class A Common Stock or cash.

What are ERock Class M Units as described in Corey Amthor’s Form 3?

Class M Units are described as profits interests in Enchanted Rock Holdings, LLC. Vested Class M Units can be converted into Class B Units based on a distribution formula, which then can be exchanged into Class A Common Stock, giving upside participation tied to future value.

Do ERock Class B Common Stock shares reported by Corey Amthor have economic rights?

The filing states that ERock’s Class B Common Stock has no economic value and carries one vote per share. Upon exchanging related Class B Units into Class A Common Stock or cash, an equivalent number of Class B Common Stock shares are automatically cancelled.

What vesting schedule applies to Corey Amthor’s ERock Class M Units?

Footnotes state different Class M Unit tranches vest monthly between July 2026 and November 2028. For example, 110,425 units have vested, with the remainder vesting in 25 monthly installments starting July 2026, conditioned on Amthor’s continuous service with the company.

What are the exercise prices on Corey Amthor’s ERock Class M Units?

The derivative holdings include Class M Units tied to Class A Common Stock at exercise prices of $1.61 and $0.15 per underlying share. Additional Class B Units are listed with a $0.00 exercise price, reflecting their one-for-one exchange into Class A Common Stock.