SPRUCE POWER HOLDING CORP
For the period ended Jun 30, 2024. Filed Aug 14, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2024 · Filed Aug 14, 2024
SPRU$1.51-7.4%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
| Exhibit No. | Description | Included | Form | Filing Date |
| 3.1 | Second Amended and Restated Certificate of Incorporation. | By Reference | 8-K | December 23, 2020 |
| 3.2 | Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation | By Reference | 8-K | October 6, 2023 |
| 3.3 | Certificate of Amendment changing name of Registrant to Spruce Power Holding Corporation | By Reference | 8-K | November 14, 2022 |
| 3.4 | Amended and Restated Bylaws, as amended as of November 10, 2022 | By Reference | 8-K | November 14, 2022 |
| 10.1* | Amended and Restated At-will Employment, Confidential Information Invention Assignment, and Arbitration Agreement, dated January 1, 2022, by and between Solar Service Experts and Jonathan M. Norling | Herewith | ||
| 10.2* | Executive Employment Agreement, dated April 12, 2024, by and between Spruce Power Holding Corporation and Christopher Hayes | Herewith | ||
| 10.3* | Executive Separation Agreement, dated April 12, 2024, by and between Spruce Power Holding Corporation and Christian Fong | Herewith | ||
| 10.4* | Amended Offer Letter, dated June 13, 2024, by and between Spruce Power Holding Corporation and Sarah Wells | Herewith | ||
| 10.5 | Cooperation Agreement, dated June 21, 2024, by and among Spruce Power Holding Corporation, Clayton Capital Appreciation Fund, L.P. and Clayton Partners LLC | By Reference | 8-K | June 24, 2024 |
| 10.6 | Credit Agreement, dated as of June 26, 2024, among Spruce SET Borrower 2024, LLC, as Borrower, Barings GPSF LLC, as Facility Agent for the financial institutions that may from time to time become parties hereto as Lenders, Computershare Trust Company, National Association, as Collateral Agent and as Paying Agent and Lenders from time to time party thereto | By Reference | 8-K | July 1, 2024 |
| 31.1* | Certification of Principal Executive Officer Pursuant to Rule 13a- 14(a) and Rule 15d-14(a) of the Securities and Exchange Act of 1934, as amended, pursuant to Section 302 of the Sarbanes- Oxley Act of 2002. | Herewith | ||
| 31.2* | Certification of Principal Financial Officer Pursuant to Rule 13a- 14(a) and Rule 15d-14(a) of the Securities and Exchange Act of 1934, as amended, pursuant to Section 302 of the Sarbanes- Oxley Act of 2002. | Herewith | ||
| 32.1^* | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | Herewith | ||
| 32.2^* | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | Herewith | ||
| 101.INS* | Inline XBRL Instance Document | Herewith | ||
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document | Herewith | ||
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document | |||
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document | Herewith | ||
| 101.LAB* | Inline XBRL Taxonomy Extension Label Linkbase Document | Herewith | ||
| 101.PRE* | XBRL Taxonomy Extension Presentation Linkbase Document | Herewith | ||
| 104* | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | Herewith | ||
| * | Filed herewith |
|---|---|
| + | Indicates a management contract or compensatory plan or arrangement. |
| ∧ | In accordance with Item 601(b)(32)(ii) of Regulation S-K and SEC Release No. 34-47986, the certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Quarterly Report on Form 10-Q and will not be deemed “filed” for purposes of Section 18 of the Exchange Act or deemed to be incorporated by reference into any filing under the Exchange Act or the Securities Act of 1933 except to the extent that the registrant specifically incorporates it by reference. |
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