Grove Collaborative Holdings Inc SEC Filings

Form 4 Overview (AEHR – 11 Jul 2025)

Executive Vice-President of Sales & Marketing Vernon Rogers reported an insider transaction coded “F”, indicating the withholding of shares to satisfy tax obligations that arose from the vesting of restricted stock units (RSUs). No open-market purchase or sale occurred.

• Shares withheld for taxes: 450 common shares at an accounting price of $14.11.
• Resulting ownership: 69,940 AEHR common shares, which still includes unvested RSUs.
• Transaction nature: Non-discretionary, automatically executed to cover withholding; therefore it does not signal a change in the executive’s bullish or bearish outlook.

The filing leaves Mr. Rogers with a meaningful equity stake, maintaining alignment with shareholder interests. Because the action is tax-related and small relative to his total holdings—and immaterial to AEHR’s float—it is generally viewed as neutral for investors.

On July 10, 2025, Grove Collaborative Holdings (GROV) submitted a Form 4 indicating that director Kristine E. Miller received 59,200 restricted stock units (RSUs). Each RSU represents one share of Class A common stock and was granted at $0 exercise price as part of routine board compensation. The units will fully vest on the earlier of May 15, 2026 or the company’s 2026 annual shareholder meeting; the award carries no stated expiration date. After this transaction, Miller beneficially owns 59,200 derivative securities (RSUs). No open-market purchases or sales of common shares were reported, so the filing does not alter the public float or company cash position. The disclosure primarily serves governance transparency by showing equity-based alignment between the director and shareholders.

Grove Collaborative Holdings, Inc. (GROV) – Form 4 Insider Filing

Director John B. Replogle was granted 59,200 Restricted Stock Units (RSUs) on 10 July 2025. Each RSU represents the contingent right to receive one share of Class A common stock.

• Vesting: RSUs fully vest on the earlier of 15 May 2026 or the date of the 2026 Annual Meeting of Stockholders.
• Cost: Grant price is $0, typical for equity compensation.
• Beneficial ownership: Following the grant, the director beneficially owns 59,200 shares; no prior holdings are disclosed in this filing.
• Expiration: RSUs carry no expiration date.

The filing reflects routine board compensation rather than an open-market purchase, so the immediate cash impact and signal value are limited. However, it does modestly increase insider alignment by tying compensation to future share performance.

Gevo, Inc. (GEVO) – Form 4 insider transaction

Chief Customer Market & Brand Officer Andrew Shafer reported the sale of 5,000 shares of Gevo common stock on June 20 2025 at a weighted-average price of $1.3475 (price range $1.3412-$1.3550) under a Rule 10b5-1 trading plan adopted on November 22 2024.

Following the disposition, Shafer’s beneficial ownership stands at 335,620 shares held directly and 9,814.49 shares held indirectly via the company 401(k) plan.

No derivative securities were involved, and no other transactions were reported.

The sale represents a small fraction of Shafer’s holdings and does not, by itself, indicate a strategic shift by management.

StoneX Group Inc. (NASDAQ: SNEX) disclosed via Form 8-K that its newly formed subsidiary, StoneX Escrow Issuer LLC, has priced and sold $625 million of 6.875% Senior Secured Notes due 2032. The proceeds are being placed in a segregated escrow account to fund the proposed acquisition of RTS Investor Corp. (the “Merger”). If the Merger closes by 20 Oct 2025, the escrow issuer will merge into StoneX and the parent will assume the notes; otherwise, a special mandatory redemption at par (plus accrued interest) will be executed.

Key terms include: (1) semi-annual interest payments starting 15 Jan 2026; (2) optional redemption at par plus a make-whole premium before 15 Jul 2028, with stepped-down call prices thereafter; (3) up to 40 % equity-clawback at 106.875 % before 2028; and (4) a 101 % change-of-control put. Prior to escrow release, the notes are secured solely by the escrow account; once released, they will be second-lien obligations and fully and unconditionally guaranteed by StoneX’s restricted subsidiaries that already back the company’s senior secured credit facility.

The Indenture imposes customary high-yield covenants restricting additional debt, liens, dividends, asset sales, affiliate transactions and mergers, with standard carve-outs. Events of default trigger acceleration if 30 % of holders (or the trustee) act.

Implications for investors: StoneX secures large, fixed-rate capital at a relatively high coupon, increasing leverage but locking in long-dated financing for a strategic acquisition. Escrow mechanics shelter noteholders if the deal stalls, yet the notes will rank behind existing first-lien debt once released. No earnings data were included in this filing.

Grove Collaborative Holdings, Inc. (NYSE: GROV) filed an 8-K disclosing an Amendment to its $100 million Standby Equity Purchase Agreement (SEPA) with YA II PN, Ltd. (Yorkville). The original July 18, 2022 SEPA permits Grove to issue up to $100 million of Class A common stock to Yorkville at its discretion over 36 months.

The July 8 2025 amendment makes two material changes: (1) the definition of “Market Price” is revised from the average volume-weighted average price (VWAP) over three trading days to the lowest daily VWAP within that period, and (2) the commitment period is extended to August 1 2027, providing Grove an additional two years of access to the facility.

Implications for investors: The extension enhances Grove’s liquidity flexibility and could reduce financing risk during a challenging macro environment. However, using the lowest VWAP as the pricing floor may lead to lower issuance prices and greater dilution for existing shareholders if the facility is drawn. No immediate share issuance or financial metrics were reported; the amendment simply modifies contractual terms.

Foundations Investment Advisors, LLC (FIA) has filed Amendment No. 5 to its Schedule 13G for the Hypatia Women CEO ETF (CUSIP 90214Q527), a series of the Two Roads Shared Trust. The filing, triggered as of 30 June 2025 and signed on 8 July 2025, discloses that FIA now reports zero shares beneficially owned, representing 0% of the outstanding class. FIA also reports no sole or shared voting or dispositive power over any shares.

Because beneficial ownership has fallen below the 5 % reporting threshold, FIA checks the box for “Ownership of 5 percent or less of a class” and lists itself under Item 3(e) as an investment adviser registered under Rule 13d-1(b)(1)(ii)(E).

The absence of any remaining position suggests a complete exit or reclassification of shares previously held. No other entities are listed, and there is no indication of group activity, subsidiary involvement, or pending transactions. Certifications are routine and the document contains no financial statements or earnings data.

The Form 144 filing for Unum Group (UNM) discloses a proposed sale of 15,000 common shares through Fidelity Brokerage Services on 30 June 2025 via the NYSE. At the recent market price used in the form, the transaction is valued at $1.206 million. The filing also reports that the same seller disposed of 10,000 shares on 27 June 2025 for $806,249.45. With 174,361,903 shares outstanding, the upcoming sale represents roughly 0.009 % of total shares, indicating limited dilution or ownership impact. The shares were originally acquired through restricted-stock vesting on 22 May 2025 and are characterized in the filing as compensation, not a cash purchase. No material adverse information is stated, and the signer certifies compliance with Rule 10b5-1 where applicable.