Energy Vault Holdings, Inc.
For the period ended Mar 31, 2026. Filed May 19, 2026.
View on SEC.govAbout this filing
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.
Mar 31, 2026 · Filed May 19, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| ExhibitNumber · Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Description of Document · Schedule/Form · File Number · Exhibit Number · Filing Date | |||||
| 3.1 | Amended and Restated Bylaws of Energy Vault Holdings, Inc. | 8-K | 001-39982 | 3.1 | February 14, 2022 |
| 3.2 | Amended and Restated Certificate of Incorporation of Energy Vault Holdings, Inc. | 8-K | 001-39982 | 3.2 | February 14, 2022 |
| 4.1** | Form of AR Senior Convertible Debenture, dated May 18, 2026, by and between Energy Vault Holdings, Inc. and YA II PN, LTD. | ||||
| 4.2** | Form of LC Senior Convertible Debentures, dated May 18, 2026, by and between Energy Vault Holdings, Inc. and YA II PN, LTD. | ||||
| 10.1 | Note Purchase Agreement, dated April 4, 2025, by and between Calistoga Resiliency Center, LLC and Eagle Point Credit Management, LLC | 10-Q | 001-39982 | 10.4 | May 13, 2025 |
| 10.2 | Equity Purchase Agreement, dated March 31, 2025, by and between Energy Vault Holdings, Inc. and Hudson Global Ventures, LLC | 10-Q | 001-39982 | 10.5 | May 13, 2025 |
| 10.3 | Form of Credit Agreement, dated May 12, 2025, by and between Energy Vault Holdings, Inc. and Crescent Cove Opportunity Lending, LLC | 10-Q | 001-39982 | 10.6 | May 13, 2025 |
| 10.4 | Equity Purchase Agreement, dated August 6, 2025, by and between Energy Vault Holdings, Inc. and Helena Global Investment Opportunities I LTD | 10-Q | 001-39982 | 10.4 | August 8, 2025 |
| 10.5 | Credit Agreement, dated as of July 23, 2025, by and among Cross Trails Energy Storage Project, LLC, Wilmington Trust, National Association, as administrative agent and collateral agent, and each of the lenders party thereto | 8-K | 001-39982 | 10.1 | July 28, 2025 |
| 10.6 | Standard Merchant Cash Advance Agreement, dated August 28, 2025, by and between Energy Vault Holdings, Inc., Energy Vault Inc., and Cedar Advance LLC. | 10-Q | 001-39982 | 10.6 | November 10, 2025 |
| 10.7 | Securities Purchase Agreement, dated September 22, 2025, between Energy Vault Holdings, Inc. and YA II PN, LTD. | 10-Q | 001-39982 | 10.7 | November 10, 2025 |
| 10.8 | Registration Rights Agreement, dated September 22, 2025, between Energy Vault Holdings, Inc. and YA II PN, LTD. | 10-Q | 001-39982 | 10.8 | November 10, 2025 |
| 10.9 | Tax Credit Purchase Agreement, dated July 18, 2025, by and between Calistoga Resiliency Center, LLC, Calistoga Resiliency Center HoldCo, and Vitol Inc. | 10-Q | 001-39982 | 10.9 | November 10, 2025 |
| 10.10 | Amended and Restated Limited Liability Company Agreement of Asset Vault, LLC, dated October 9, 2025 | 10-Q | 001-39982 | 10.10 | November 10, 2025 |
| 10.11 | Contribution and Purchase Agreement, by and among Energy Vault, Inc., OIC Structure Equity Fund I, L.P., OIC Structured Equity Fund I AUS, L.P., OIC Structured Equity Fund I GPFA, L.P. and Asset Vault, LLC | 10-Q | 001-39982 | 10.11 | November 10, 2025 |
| 10.12** | Non-Employee Director Compensation Policy, as amended | ||||
| ExhibitNumber | Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|---|
| Description of Document | Schedule/Form | File Number | Exhibit Number | Filing Date | |||
| 10.13** | Retention Bonus Agreement by and between Energy Vault Holdings, Inc. and Robert Piconi, dated as of September 10, 2025 | ||||||
| 10.14** | Retention Bonus Agreement by and between Energy Vault Holdings, Inc. and Robert Piconi, dated as of December 16, 2025 | ||||||
| 10.15** | Securities Purchase Agreement, dated May 18, 2026, by and between Energy Vault Holdings, Inc. and YA II PN, LTD. | ||||||
| 31.1** | Certification of Principal Executive Officer required under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended | ||||||
| 31.2** | Certification of Chief Financial Officer required under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended | ||||||
| 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 | ||||||
| 32.2** | Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | ||||||
| 101.INS** | XBRL Instance Document | ||||||
| 101.CAL** | XBRL Taxonomy Extension Calculation Linkbase Document | ||||||
| 101.SCH** | XBRL Taxonomy Extension Schema Document | ||||||
| 101.DEF** | XBRL Taxonomy Extension Definition Linkbase Document | ||||||
| 101.LAB** | XBRL Taxonomy Extension Labels Linkbase Document | ||||||
| 101.PRE** | XBRL Taxonomy Extension Presentation Linkbase Document | ||||||
| 104** | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) | ||||||
** Filed herewith
^ The certifications attached as Exhibit 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filings of Energy Vault Holdings, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing.
†Pursuant to Item 601(a)(5) of Regulation S-K, certain schedules and similar attachments have been omitted. The registrant hereby agrees to furnish a copy of any omitted schedule or similar attachment to the Securities and Exchange Commission upon request.
Pursuant to Item 601(b)(10)(iv) of Regulation S-K promulgated by the Securities and Exchange Commission, certain portions of this exhibit have been redacted because the Company customarily and actually treats such omitted information as private or confidential and because such omitted information is not material.
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