Spruce Power grants Shawn W. Kravetz 70,093 stock units

The restricted stock units vest on August 25, 2027, only if the director remains in service through that date.

Available on EDGAR 10/30/2026 - 05:35 PM EDT Accepted by SEC EDGAR 10/30/2026 - 05:34 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Spruce Power Holding Corp. director Shawn W. Kravetz received an award of 70,093 restricted stock units on August 25, 2026. Each RSU represents a contingent right to one common share and vests on August 25, 2027, subject to continued service through that date. His reported direct holdings following the award were 265,593 shares as of August 25, 2026. Separately, Esplanade Capital LLC and its affiliates held 311,382 shares as of that date; Kravetz has voting and dispositive control over those shares but disclaims beneficial ownership except to the extent of his proportionate pecuniary interest.

Insider Trade Summary

Grant/Award: 70,093 shares

Grant/Award 1 txn

Insider Kravetz Shawn W

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	70,093	$0.00	$0.00
Holding	Common Stock F2	--	--	--

Holdings After Transaction: Common Stock — 265,593 shares (Direct); Common Stock — 311,382 shares (Indirect, By: Esplanade Capital LLC and its affiliates)

Footnotes (2)

1. F1. The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting date, the RSUs vest on August 25, 2027.
2. F2. Includes 311,382 shares held by Esplanade Capital LLC and its affiliates, each, an affiliate of the reporting person. Notwithstanding his dispositive and voting control over such shares, the reporting person disclaims beneficial ownership of the shares of our common stock held by Esplanade Capital LLC and its affiliates, except to the extent of his proportionate pecuniary interest therein.

Key Figures

Restricted stock units awarded: 70,093 restricted stock units Direct common-stock holdings: 265,593 shares Shares held by Esplanade Capital LLC and its affiliates: 311,382 shares

3 metrics

Restricted stock units awarded 70,093 restricted stock units Awarded August 25, 2026; each represents a contingent right to one common share.

Direct common-stock holdings 265,593 shares Kravetz's reported direct holdings following the award as of August 25, 2026.

Shares held by Esplanade Capital LLC and its affiliates 311,382 shares Held as of August 25, 2026; Kravetz disclaims beneficial ownership except to the extent of his proportionate pecuniary interest.

Key Terms

restricted stock units, contingent right, beneficial ownership, pecuniary interest

4 terms

restricted stock units financial

"in the form of restricted stock units (RSUs)"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

contingent right financial

"each represent a contingent right to receive one share"

beneficial ownership regulatory

"disclaims beneficial ownership of the shares"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

pecuniary interest financial

"his proportionate pecuniary interest therein"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many RSUs did SPRU director Shawn W. Kravetz receive?

On August 25, 2026, director Shawn W. Kravetz was awarded 70,093 RSUs, each a contingent right to receive one common share. They vest on August 25, 2027, subject to his continued service through the vesting date.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Kravetz Shawn W

(Last) (First) (Middle)

820 GESSNER RD, SUITE 500

(Street)

HOUSTON TEXAS 77024

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
SPRUCE POWER HOLDING CORP [ SPRU ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/25/2026

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

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/25/2026		A		70,093(1)	A	$0	265,593	D
Common Stock								311,382(2)	I	By: Esplanade Capital LLC and its affiliates

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting date, the RSUs vest on August 25, 2027.

2. Includes 311,382 shares held by Esplanade Capital LLC and its affiliates, each, an affiliate of the reporting person. Notwithstanding his dispositive and voting control over such shares, the reporting person disclaims beneficial ownership of the shares of our common stock held by Esplanade Capital LLC and its affiliates, except to the extent of his proportionate pecuniary interest therein.

Remarks:

	/s/ Bobby Owens, as Attorney-in-Fact	10/30/2026
	** 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 4 (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 4: SEC 1474 (03-26)