Основная статистика
| LEI | 54930065ZCHE9KQTEZ38 |
| CIK | 1009759 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Capstone Green Energy Corp.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 14, 2025 |
Capstone Green Energy Announces Its Direct Operations in the U.S. Western Region with the Acquisition of Cal Microturbine Territory LOS ANGELES, CA / BUSINESS WIRE / August 14, 2025 – Capstone Green Energy Holdings, Inc. (the "Company” or “Capstone”) (OTCID: CGEH), the public successor to Capstone Green Energy Corporation, today announced that it has acquired one of its distributors, Cal Microturb |
|
| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission Fil |
|
| August 14, 2025 |
Execution Version EQUITY PURCHASE AGREEMENT by and among CAPSTONE GREEN ENERGY LLC, CAL MICRO HOLDCO, INC. |
|
| August 14, 2025 |
Robert F. Beard Elected to the Capstone Green Energy Board of Directors Following 2025 Annual Meeting of Stockholders LOS ANGELES, CA / BUSINESS WIRE / August 14, 2025 – Capstone Green Energy Holdings, Inc. (the "Company” or “Capstone”) (OTCID: CGEH) and Capstone Green Energy, LLC., today announced the election of Robert F. Beard to the Company’s Board of Directors, effective August 12, 2025 follo |
|
| August 14, 2025 |
August 13, 2025 CONSENT TO CAL MICRO ACQUISITION AND SECOND AMENDMENT TO THE NOTE PURCHASE AGREEMENT Execution Version August 13, 2025 CONSENT TO CAL MICRO ACQUISITION AND SECOND AMENDMENT TO THE NOTE PURCHASE AGREEMENT Reference is made to that certain Note Purchase Agreement dated as of December 7, 2023 (as so amended, supplemented or otherwise modified prior to the date hereof, the “Note Purchase Agreement”), among Capstone Green Energy LLC (as “Company”), Capstone Green Energy Holdings, Inc. |
|
| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K (Amendment No.1) CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction |
|
| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission File |
|
| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| August 8, 2025 |
Exhibit 99.1 Capstone Green Energy Announces Financial Results for First Quarter of Fiscal 2026 Ended June 30, 2025 Strong Financial Momentum with Five Straight Quarters of Positive Adjusted EBITDA Delivering on Strategic Pillars: Q1 Results Demonstrate Power of Focused Execution Earnings Conference Call Scheduled for August 15, 2025 LOS ANGELES, CA / BUSINESS WIRE / August 8, 2025 / Capstone Gree |
|
| July 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ⌧ Defin |
|
| June 27, 2025 |
Exhibit 99.1 Capstone Green Energy Announces Financial Results for Fourth Quarter and Full Fiscal Year 2025 Company Reaches Historic Profitability Milestone With First Full-Year Positive Adjusted EBITDA Delivering on Our Pillars: Q4 Results Show the Power of Focused Execution Earnings Results Conference Call Webcast to be Held on July 2, 2025 LOS ANGELES, CA / BUSINESS WIRE / June 27, 2025 / Capst |
|
| June 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-15957 |
|
| June 27, 2025 |
Capstone Green Energy Holdings, Inc. Insider Trading Policy. Exhibit 19.1 CAPSTONE GREEN ENERGY HOLDINGS, INC. INSIDER TRADING POLICY STATEMENT OF COMPANY POLICY ON INSIDER TRADING AND DISCLOSURE This memorandum sets forth the policy of Capstone Green Energy Holdings, Inc. and its subsidiaries (collectively, the “Company”) regarding trading in the Company’s securities as described below and the disclosure of information concerning the Company. This Statemen |
|
| June 27, 2025 |
List of Subsidiaries of Capstone Green Energy Holdings, Inc. Exhibit 21.1 SUBSIDIARY LIST Capstone Green Energy LLC, a Delaware limited liability company |
|
| June 27, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 27, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission File |
|
| June 27, 2025 |
Exit Note Purchase Agreement Waiver Letter dated June 23, 2025. Exhibit 10.24 Execution Version June 23, 2025 VIA EMAIL Capstone Green Energy LLC 16640 Stagg Street Van Nuys, CA 91406 Attention: John Juric, Chief Financial Officer Email: [email protected] With a copy to: Katten Muchin Rosenman LLP 525 W. Monroe Street Chicago, IL 60661-3693 Attention: Mark D. Wood, Esq. and Jaime T. Willis, Esq. Email: [email protected] and [email protected] Ladie |
|
| June 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K (Amendment No.1) CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction |
|
| June 23, 2025 |
Capstone Green Energy Appoints Christopher Close to Its Board of Directors Capstone Green Energy Appoints Christopher Close to Its Board of Directors LOS ANGELES, CA / BUSINESS WIRE / June 23, 2025 – Capstone Green Energy Holdings, Inc. |
|
| June 16, 2025 |
Shareholder Director Nominations UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K (Amendment No.1) CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction |
|
| June 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incorporation) Identification No.) 16640 Stagg Street, Van Nuys, California 91406 (Address of |
|
| June 2, 2025 |
Conflict Minerals Report of Capstone Green Energy Corporation Exhibit 1.01 Capstone Green Energy Holdings, Inc. Conflict Minerals Report For the reporting period from January 1, 2024 to December 31, 2024 This Conflict Minerals Report (the “Report”) of Capstone Green Energy Holdings, Inc. (the “Company”, “we”, “our”, “us”) for the reporting period from January 1, 2024 to December 31, 2024 has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promu |
|
| April 8, 2025 |
As filed with the Securities and Exchange Commission on April 8, 2024 As filed with the Securities and Exchange Commission on April 8, 2024 Registration Statement No. |
|
| April 8, 2025 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Capstone Green Energy Holdings, Inc. |
|
| March 17, 2025 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No.1) CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdic |
|
| March 17, 2025 |
Letter from Marcum LLP, dated March 14, 2025 Exhibit 16 Marcum llp / 777 S. Figueroa Street / Suite 2900 / Los Angeles, CA 90017 / Phone 310.432.7400 / marcumllp.com March 14, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Capstone Green Energy Holdings, Inc. under Item 4.01 of its Form 8-K dated March 14, 2025. We agree with the statements concerning our Fir |
|
| February 14, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission F |
|
| February 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 14, 2025 |
Exhibit 99.1 Capstone Green Energy Files Third Quarter Fiscal 2025 Financial Results Third Quarter Performance Demonstrates Our Performance Commitment The Company’s Common Stock is Trading Over the Counter Earnings Results Conference Call Webcast to be Held on February 19, 2025 LOS ANGELES, CA / BUSINESS WIRE / February 14, 2025 / Capstone Green Energy Holdings, Inc. (the "Company” or “Capstone”) |
|
| February 14, 2025 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission F |
|
| February 7, 2025 |
DEFA14A 1 tmb-20250207xdefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only |
|
| February 7, 2025 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2025 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission Fi |
|
| February 7, 2025 |
Letter from Marcum LLP, dated February 7, 2025. Exhibit 16.1 Marcum llp / 777 S. Figueroa Street / Suite 2900 / Los Angeles, CA 90017 / Phone 310.432.7400 / marcumllp.com February 7, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Capstone Green Energy Holdings, Inc. under Item 4.01 of its Form 8-K dated February 7, 2025. We agree with the statements concerning o |
|
| December 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ⌧ Defin |
|
| December 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ◻ Defin |
|
| December 16, 2024 |
Financial Statements and Exhibits, Shareholder Director Nominations UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2024 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission F |
|
| November 13, 2024 |
Exhibit 99.1 Capstone Green Energy Releases Second Quarter Fiscal 2025 Financial Results Second Quarter Results Reflect Strong Commitment to Performance and Growth Initiated the Process for Over-the-Counter Trading for the Company’s Common Stock LOS ANGELES, CA / BUSINESS WIRE / November 12, 2024 / Capstone Green Energy Holdings, Inc. (the "Company"), the public successor to Capstone Green Energy |
|
| November 13, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2024 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission F |
|
| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| October 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2024 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission Fi |
|
| October 18, 2024 |
Exhibit 99.1 Capstone Green Energy Files First Quarter Fiscal 2025 Financial Results Now Current with SEC Reporting Requirements. LOS ANGELES, CA / BUSINESS WIRE / October 17, 2024 / Capstone Green Energy Holdings, Inc. (the "Company"), the public successor to Capstone Green Energy Corporation, announced its financial results for the quarter ended June 30, 30204 (the first quarter of fiscal year 2 |
|
| October 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| September 27, 2024 |
Capstone Green Energy Holdings, Inc. Clawback Policy, effective October 2, 2023 Exhibit 97.1 CAPSTONE GREEN ENERGY HOLDINGS, INC. EXECUTIVE OFFICER INCENTIVE COMPENSATION RECOUPMENT (CLAWBACK) POLICY 1. Purpose. The purpose of this Capstone Green Energy Holdings, Inc. (the “Company”) Executive Officer Incentive Compensation Recoupment (Clawback) Policy (this “Policy”) is to enable the Company to recover Erroneously Awarded Compensation from Covered Executive Officers in the e |
|
| September 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-15957 |
|
| September 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) Table of Contents f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 1-15957 CUSIP NUMBER: 14067D607 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report o |
|
| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| July 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 1-15957 CUSIP NUMBER: 14067D607 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report |
|
| June 28, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 26, 2024 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission File |
|
| June 28, 2024 |
EXHIBIT 4.1 FIRST AMENDMENT TO NOTE PURCHASE AGREEMENT THIS FIRST AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (this “Amendment”) is entered into as of June 28, 2024 by and among CAPSTONE GREEN ENERGY LLC, a Delaware limited liability company, as issuer (the “Company”), CAPSTONE GREEN ENERGY HOLDINGS, INC. (“Holdings”) and CAPSTONE TURBINE FINANCIAL SERVICES, LLC, as guarantors, the P |
|
| June 13, 2024 |
EXHIBIT 4.4 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED Capstone Green Energy Holdings, Inc. (the “Company”, “we”, “us” and “our”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: common stock, par value $0.001 per share (“Common Stock”). Description of Com |
|
| June 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file |
|
| June 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-15957 |
|
| June 13, 2024 |
Exhibit 21 SUBSIDIARY LIST Capstone Green Energy LLC, a Delaware limited liability company |
|
| June 13, 2024 |
Form of Restricted Stock Unit Agreement Exhibit 10.23 Restricted Stock Unit Agreement This Restricted Stock Unit Agreement (this "Agreement") is made and entered into as of [DATE], 202[●] (the "Grant Date") by and between Capstone Green Energy Holdings, Inc., a Delaware corporation (the "Company") and [GRANTEE NAME] (the "Grantee"). WHEREAS, the Company has adopted the Capstone Green Energy Holdings, Inc. 2023 Equity Incentive Plan (the |
|
| May 31, 2024 |
Conflict Minerals Report of Capstone Green Energy Corporation Exhibit 1.01 Capstone Green Energy Holdings, Inc. Conflict Minerals Report For the reporting period from January 1, 2023 to December 31, 2023 This Conflict Minerals Report (the “Report”) of Capstone Green Energy Holdings, Inc. (the “Company”, “we”, “our”, “us”) for the reporting period from January 1, 2023 to December 31, 2023 has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promu |
|
| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incorporation) Identification No.) 16640 Stagg Street, Van Nuys, California 91406 (Address of |
|
| March 12, 2024 |
EXHIBIT 99.1 Capstone Green Energy Announces Vince Canino as its President and Chief Executive Officer Canino Brings Over Three Decades of Energy Sector Expertise and a Proven Track Record of Driving Product Innovation and Sustainable Growth LOS ANGELES, CA / BUSINESS WIRE / MARCH 12, 2024 / Capstone Green Energy Holdings, Inc. (the “Company”), the public successor to Capstone Green Energy Corpora |
|
| March 12, 2024 |
Capstone Green Energy Holdings, Inc. Form of Amended and Restated Change in Control Agreement (n) Exhibit 10.2 AMENDED AND RESTATED CHANGE IN CONTROL AGREEMENT This Amended and Restated Change in Control Agreement (“Agreement”) is made as of the th day of [MONTH] 202[●] by and between Capstone Green Energy Holdings, Inc., a Delaware corporation (the “Company”), and [EMPLOYEE NAME] (the “Employee”). 1.Purpose. The Company considers it essential to the best interests of its stockholders to promo |
|
| March 12, 2024 |
Employment Offer Letter for Vincent J. Canino, dated February 22, 2024 (n) Exhibit 10.1 Mr. Vincent J. Canino [***] [***] February 21, 2024 Dear Mr. Canino, We are very pleased to extend an offer of employment to you for the positions of President and Chief Executive Officer of Capstone Green Energy Holdings, Inc., a Delaware corporation (the "Company"). This offer of employment is conditioned on the satisfactory completion of certain requirements, as more fully explaine |
|
| March 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 12, 2024 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission File |
|
| February 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2024 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commission F |
|
| February 26, 2024 |
Capstone Green Energy Announces Appointment of John Miller to The Board of Directors EXHIBIT 99.1 Capstone Green Energy Announces Appointment of John Miller to The Board of Directors LOS ANGELES, CA / BUSINESS WIRE / FEBRUARY 26, 2024 / Capstone Green Energy Holdings, Inc. (the “Company”), the public successor to Capstone Green Energy Corporation (Predecessor Capstone), is pleased to announce the immediate appointment of John Miller to its Board of Directors, effective immediately |
|
| December 11, 2023 |
Severance Pay Plan of Capstone Green Energy Holdings, Inc. (m) EXHIBIT 10.7 CAPSTONE GREEN ENERGY HOLDINGS, INC. SEVERANCE PAY PLAN AND SUMMARY PLAN DESCRIPTION Effective December 7, 2023 ARTICLE I INTRODUCTION This Capstone Green Energy Holdings, Inc. (the “Company”) Severance Pay Plan (the “Plan”) is established effective as of the date set forth above (the “Effective Date”). As of the Effective Date, this Plan replaces and supersedes all prior agreements a |
|
| December 11, 2023 |
Amended and Restated Bylaws of Capstone Green Energy Holdings, Inc. (a) EXHIBIT 3.2 AMENDED AND RESTATED BYLAWS OF CAPSTONE GREEN ENERGY HOLDINGS, INC. (THE “CORPORATION”) Article I OFFICES Section 1.1 Registered Office. The registered office of the Corporation within the State of Delaware shall be located at either (a) the principal place of business of the Corporation in the State of Delaware or (b) the office of the corporation or individual acting as the Corporati |
|
| December 11, 2023 |
EXHIBIT 10.3 REORGANIZED PRIVATECO SERVICES AGREEMENT THIS SERVICES AGREEMENT (this “Agreement”), effective as of December 7, 2023 (the “Effective Date”), is entered into by and among Capstone Green Energy LLC, a Delaware limited liability company (“Capstone”), and Capstone Distributor Support Services Corporation (f/k/a Capstone Green Energy Corporation), a Delaware corporation (“Reorganized Priv |
|
| December 11, 2023 |
EXHIBIT 10.2 REORGANIZED PUBLICCO SERVICES AGREEMENT This Reorganized PublicCo Services Agreement (this “Agreement”), dated as of December 7, 2023 (“Effective Date”), is made by and between Capstone Green Energy Holdings, Inc. (f/k/a Capstone Turbine International, Inc.), a Delaware corporation (“Reorganized PublicCo”), and Capstone Green Energy LLC, a Delaware limited liability company (“New Subs |
|
| December 11, 2023 |
EXHIBIT 10.8 CHANGE IN CONTROL AGREEMENT This Change in Control Agreement (“Agreement”) is made as of the th day of [MONTH] 202[●] by and between Capstone Green Energy Holdings, Inc., a Delaware corporation (the “Company”), and [EMPLOYEE NAME] (the “Employee”). 1.Purpose. The Company considers it essential to the best interests of its stockholders to promote and preserve the continuous employment |
|
| December 11, 2023 |
EXHIBIT 10.4 Trademark License Agreement This Trademark License Agreement, dated as of December 7, 2023 (such date, the “Effective Date”, and such agreement, this “Agreement”), is entered into by and between Capstone Distributor Support Services Corporation, a Delaware corporation, formerly known as Capstone Green Energy Corporation (“Licensor”) and Capstone Green Energy Holdings, Inc., a Delaware |
|
| December 11, 2023 |
EXHIBIT 10.1 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT among CAPSTONE GREEN ENERGY LLC and THE MEMBERS NAMED HEREIN dated as of December 7, 2023 TABLE OF CONTENTS Article I Definitions6 Section 1.01 Definitions.6 Section 1.02 Interpretation.21 Article II Organization21 Section 2.01 Formation.21 Section 2.02 Name.22 Section 2.03 Principal Office.22 Section 2.04 Registered Offi |
|
| December 11, 2023 |
EXHIBIT 4.1 NOTE PURCHASE AGREEMENT dated as of December 7, 2023 among CAPSTONE GREEN ENERGY LLC, as Company, and CAPSTONE GREEN ENERGY HOLDINGS, INC. and CAPSTONE TURBINE FINANCIAL SERVICES, LLC as Guarantors, VARIOUS PURCHASERS, GOLDMAN SACHS SPECIALTY LENDING GROUP, L.P., as Collateral Agent $ 28,090,857.69 Senior Secured Notes TABLE OF CONTENTS Page Section 1DEFINITIONS AND INTERPRETATION2 1. |
|
| December 11, 2023 |
Press Release, dated December 7, 2023. EXHIBIT 99.1 Capstone Green Energy Completes Financial Restructuring Plan, Emerges From Chapter 11 Company Secures Additional $7 Million in New Financing at Exit, Bolstering Financial Resources for Enhanced Market Leadership in The On-Site Power Generation Industry LOS ANGELES, CA / BUSINESS WIRE / DECEMBER 7, 2023 / Capstone Green Energy Holdings, Inc. (the “Company”), the public successor to Cap |
|
| December 11, 2023 |
Second Amended and Restated Certificate of Incorporation of Capstone Green Energy Holdings, Inc. (a) EXHIBIT 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CAPSTONE GREEN ENERGY HOLDINGS, INC. December 7, 2023 Capstone Green Energy Holdings, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY AS FOLLOWS: 1. The name of the Corporation is “Capstone Green Energy Holdings, Inc.” The Corporation was originally in |
|
| December 11, 2023 |
2023 Equity Incentive Plan of Capstone Green Energy Holdings, Inc. (m) EXHIBIT 10.9 CAPSTONE GREEN ENERGY HOLDINGS, INC. 2023 EQUITY INCENTIVE PLAN 1.Purpose; Eligibility. 1.1General Purpose. The name of this plan is the Capstone Green Energy Holdings, Inc. 2023 Equity Incentive Plan (the "Plan"). The purposes of the Plan are to (a) enable Capstone Green Energy Holdings, Inc., a Delaware corporation (the "Company"), and any Affiliate to attract and retain the types o |
|
| December 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K12G3 CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2023 CAPSTONE GREEN ENERGY HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-15957 20-1514270 (State or other jurisdiction (Commissio |
|
| December 11, 2023 |
EXHIBIT 10.5 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (the “Agreement”) is dated as of this 7th day of December 2023, by and among Capstone Green Energy LLC, a Delaware limited liability company (the “Company”), and the persons identified on the signature pages hereto (collectively, the “Holders,” and each individually, the “Holder”). WHEREAS, the parties to this Agreement |
|
| December 11, 2023 |
Capstone Green Energy Holdings, Inc. Form of Indemnity Agreement (m) EXHIBIT 10.6 INDEMNITY AGREEMENT THIS INDEMNITY AGREEMENT (this “Agreement”) is made as of [], by and between Capstone Green Energy Holdings, Inc., a Delaware corporation (the “Company”), and [●] (“Indemnitee”). RECITALS WHEREAS, highly competent persons have become more reluctant to serve publicly-held corporations as directors, officers or in other capacities unless they are provided with adequa |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 7, 2023 As filed with the Securities and Exchange Commission on December 7, 2023 Registration Statement No. |
|
| November 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File |
|
| November 17, 2023 |
EXHIBIT 4.1 FIRST AMENDMENT TO SUPER-PRIORITY SENIOR SECURED DEBTOR-IN-POSSESSION NOTE PURCHASE AGREEMENT THIS FIRST AMENDMENT TO SUPER-PRIORITY SENIOR SECURED DEBTOR-IN-POSSESSION NOTE PURCHASE AGREEMENT (this “First Amendment”) is entered into as of November [ ], 2023 by and among CAPSTONE GREEN ENERGY CORPORATION, a Delaware corporation (the “Company”), the Guarantors signatory hereto, the Purc |
|
| November 17, 2023 |
EXHIBIT 2.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: CAPSTONE GREEN ENERGY CORPORATION, et al., Debtors.1 : : : : : : : Chapter 11 Case No. 23-11634 (LSS) (Jointly Administered) : Re: Docket Nos. 17, 18, 70, 71, 90, 97, 98, 113, 115 FINDINGS OF FACT, CONCLUSIONS OF LAW, AND ORDER (I) APPROVING THE DISCLOSURE STATEMENT; (II) CONFIRMING THE JOINT PREPACKAGED CHAPTER |
|
| November 17, 2023 |
EXHIBIT 99.1 CAPSTONE GREEN ENERGY CORPORATION RECEIVES COURT APPROVAL OF JOINT PREPACKAGED PLAN OF REORGANIZATION - PAVING THE WAY FOR EMERGENCE LOS ANGELES, CA / BUSINESS WIRE / NOVEMBER 14, 2023 / Capstone Green Energy Corporation (OTC: CGRNQ) (the “Company” or “Capstone”) announced today that the U.S. Bankruptcy Court for the District of Delaware (the “Bankruptcy Court”) has confirmed the Join |
|
| November 17, 2023 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE EXHIBIT 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE Notice of FILING OF ADDITIONAL EXHIBITS TO PLAN SUPPLEMENT PLEASE TAKE NOTICE that, on September 28, 2023, the above-captioned debtors and debtors in possession (collectively, the “Debtors”) filed the Joint Prepackaged Chapter 11 Plan of Reorganization of Capstone Green Energy Corporation and Its Debtor Affiliates [Doc |
|
| November 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 1-15957 CUSIP NUMBER: 14067D508 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Rep |
|
| October 25, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 24, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File |
|
| October 25, 2023 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE EXHIBIT 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: CAPSTONE GREEN ENERGY CORPORATION, et al., Debtors.1 : : : : : : : Chapter 11 Case No. 23-11634 (LSS) (Jointly Administered) : NOTICE OF FILING OF PLAN SUPPLEMENT TO JOINT PREPACKAGED CHAPTER 11 PLAN OF REORGANIZATION OF CAPSTONE GREEN ENERGY CORPORATION AND ITS DEBTOR AFFILIATES PLEASE TAKE NOTICE that on Septe |
|
| October 3, 2023 |
EXHIBIT 4.1 SUPER-PRIORITY SENIOR SECURED DEBTOR-IN-POSSESSION NOTE PURCHASE AGREEMENT dated as of October 2, 2023 among CAPSTONE GREEN ENERGY CORPORATION, as a Chapter 11 Debtor and Debtor-in-Possession and Company, and THE OTHER DEBTORS PARTY HERETO FROM TIME TO TIME, Each as a Chapter 11 Debtor and Debtor-in Possession and as a Guarantor, BROAD STREET CREDIT HOLDINGS LLC, as Purchaser and GOLDM |
|
| October 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission Fil |
|
| October 3, 2023 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE EXHIBIT 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: CAPSTONE GREEN ENERGY CORPORATION, et al., Debtors.1 : : : : : : : : Chapter 11 Case No. 23-11634 (LSS) (Jointly Administered) : Re: Docket No. 12 INTERIM ORDER (I) APPROVING NOTIFICATION AND HEARING PROCEDURES FOR CERTAIN TRANSFERS OF COMMON STOCK AND (II) GRANTING RELATED RELIEF Upon the motion (the “Motion”)2 |
|
| September 29, 2023 |
CGRN / Capstone Green Energy Corp. / HIRSCHMAN ORIN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Capstone Green Energy Corporation (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 14067D508 (CUSIP Number) September 28, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
|
| September 28, 2023 |
EXHIBIT 99.2 Capstone Green Energy Enters into Transaction Support Agreement with Senior Secured Lender Initiates Prepackaged Chapter 11 Process with Support from Senior Secured Lender; Obtains Commitment for Significant Balance Sheet Improvements and New Financing LOS ANGELES, CA / BUSINESS WIRE / September 28, 2023 / Capstone Green Energy Corporation (NASDAQ: CGRN) (the Company or Capstone) has |
|
| September 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission Fil |
|
| September 28, 2023 |
Exhibit 99.3 Smarter Energy for a Cleaner Future Go-Forward Plan Capstone Green Energy Corporation Smarter Energy for a Cleaner Future 2 Safe Harbor Disclaimer This Presentation and any oral statements made in connection with this Presentation do not constitute an offer to sell, or a solicitation of an offer to buy, or a recommendation to purchase, any securities in any jurisdiction. Forward-Looki |
|
| September 28, 2023 |
EXHIBIT 10.1 CAPSTONE GREEN ENERGY CORPORATION Transaction Support Agreement This Transaction Support Agreement (together with the exhibits and schedules attached hereto, as each may be amended, restated, supplemented, or otherwise modified from time to time in accordance with the terms hereof, the “TSA” or this “Agreement”),1 dated as of September 28, 2023, is entered into by and among the follow |
|
| September 28, 2023 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE EXHIBIT 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE : In re: : Chapter 11 : CAPSTONE GREEN ENERGY CORPORATION, et al., : Case No. 23-[] () : Debtors.1 : (Joint Administration Requested) : JOINT PREPACKAGED CHAPTER 11 PLAN OF REORGANIZATION OF CAPSTONE GREEN ENERGY CORPORATION AND ITS DEBTOR AFFILIATES THIS CHAPTER 11 PLAN IS BEING SOLICITED FOR ACCEPTANCE OR REJECTIONS |
|
| September 22, 2023 |
Exhibit 4.1 FIFTH AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT THIS SIXTH AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (this “Sixth Amendment”) is entered into as of September 22, 2023 by and among CAPSTONE GREEN ENERGY CORPORATION, a Delaware corporation formerly known as CAPSTONE TURBINE CORPORATION (the “Company”), the Purchaser signatory hereto and GOLDMAN SACHS SPECI |
|
| September 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission Fil |
|
| September 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission Fil |
|
| September 15, 2023 |
EXHIBIT 99.1 Capstone Green Energy Receives Notifications from Nasdaq Related to Delayed Annual Report on Form 10-K and Minimum Bid Price Deficiency LOS ANGELES, CA / BUSINESS WIRE / September 14, 2023 / Capstone Green Energy Corporation (NASDAQ: CGRN), announced that on September 12, 2023 it received a written notice from the Nasdaq Listing Qualifications Department of The Nasdaq Stock Market (Na |
|
| August 18, 2023 |
Exhibit 4.1 FIFTH AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT THIS FIFTH AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (this “Fifth Amendment”) is entered into as of August 16, 2023 by and among CAPSTONE GREEN ENERGY CORPORATION, a Delaware corporation formerly known as CAPSTONE TURBINE CORPORATION (the “Company”), the Purchaser signatory hereto and GOLDMAN SACHS SPECIALT |
|
| August 18, 2023 |
EXHIBIT 99.1 Capstone Green Energy Receives Notification of Deficiency from Nasdaq Related to Delayed Quarterly Report on Form 10-Q LOS ANGELES, CA / BUSINESS WIRE / August 18, 2023 / Capstone Green Energy Corporation (NASDAQ: CGRN), announced that on August 16, 2023 it had received a written notice from the Nasdaq Listing Qualifications Department of The Nasdaq Stock Market (Nasdaq) notifying the |
|
| August 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File N |
|
| August 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 1-15957 CUSIP NUMBER: 14067D508 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report o |
|
| August 14, 2023 |
EXHIBIT 99.1 Capstone Green Energy Announces CEO Transition Robert Flexon, Board Chair, to serve as Interim CEO following Darren Jamison’s resignation LOS ANGELES, CA / BUSINESS WIRE / August 14, 2023 / Capstone Green Energy Corporation (NASDAQ: CGRN), announced that Darren Jamison has resigned as President and CEO and board member of Capstone Green Energy, effective August 22, 2023. The board wil |
|
| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Nu |
|
| July 7, 2023 |
Exhibit 4.1 Execution Version FOURTH AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT THIS FOURTH AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (this “Fourth Amendment”) is entered into as of July 6, 2023 by and among CAPSTONE GREEN ENERGY CORPORATION, a Delaware corporation formerly known as CAPSTONE TURBINE CORPORATION (the “Company”), the Purchaser signatory hereto and GOLD |
|
| July 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 6, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Numb |
|
| July 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25/A (Amendment No. 1) NOTIFICATION OF LATE FILING SEC FILE NUMBER: 1-15957 CUSIP NUMBER: 14067D508 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K |
|
| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 1-15957 CUSIP NUMBER: 14067D508 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report |
|
| June 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incorporation) Identification No.) 16640 Stagg Street, Van Nuys, California 91406 (Address of pri |
|
| June 12, 2023 |
Conflict Minerals Report of Capstone Green Energy Corporation Exhibit 1.01 Capstone Green Energy Corporation Conflict Minerals Report For the reporting period from January 1, 2022 to December 31, 2022 This Conflict Minerals Report (the “Report”) of Capstone Green Energy Corporation (the “Company”, “We”, “Our”, “Us”) for the reporting period from January 1, 2022 to December 31, 2022 has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated |
|
| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Nu |
|
| March 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 6, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Num |
|
| March 6, 2023 |
Capstone Green Energy Names John J. Juric as Chief Financial Officer EXHIBIT 99.1 Capstone Green Energy Names John J. Juric as Chief Financial Officer LOS ANGELES, CA / BUSINESS WIRE / March 3, 2023 / Capstone Green Energy Corporation (NASDAQ: CGRN), a global leader in carbon reduction and on-site resilient green energy solutions, has appointed John J. Juric as Chief Financial Officer (CFO), effective March 6, 2023. Juric brings a wealth of experience in finance an |
|
| March 6, 2023 |
Exhibit 10.1 CAPSTONE GREEN ENERGY CORPORATION AMENDED AND RESTATED SEVERANCE PAY PLAN AND SUMMARY PLAN DESCRIPTION Effective July 3, 2018 AMENDED March 2, 2023 ARTICLE I INTRODUCTION This Amended and Restated Capstone Green Energy Corporation (the “Company”) Severance Pay Plan (the “Plan”) is established effective as of the date set forth above (the “Effective Date”). As of the Effective Date, th |
|
| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 14, 2023 |
Exhibit 10.1 PROLOGIS CLEAR LEASE Simplify your lease. Simplify your business. THIS LEASE is made between Landlord and Tenant as of the Effective Date below. 1. Defined Terms. a)Effective Date: 25 January 2023 b) Landlord: Prologis, L.P., a Delaware limited partnership c)Landlord Notice Address: Prologis 17777 Center Court Dr. N., Suite 100 Cerritos, CA 90703 Attn: Market Officer With copy to: Pro |
|
| February 13, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2023 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File |
|
| February 13, 2023 |
EXHIBIT 99.1 Capstone Green Energy Announces Third Quarter Fiscal 2023 Financial Results Third Quarter Revenues of $19.6M; Fiscal 2023 Year-to-Date Revenues up 9.5%, $59.0M Compared to $53.9M in Fiscal Year 2022 Third Quarter Net Loss is $5.2M; Adjusted EBITDA Loss of $1.7M Improved 43% Year-over-Year; Fiscal Year 2023 Year-to-Date Adjusted EBITDA Improved 57% Rental units under contract increased |
|
| November 14, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): November 14, 2022 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdict |
|
| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q f+ ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ? or ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ? Commission File Number: 00 |
|
| November 14, 2022 |
EXHIBIT 99.1 ? Capstone Green Energy Announces Second Quarter and First Half Fiscal 2023 Financial Results Second Quarter Revenues of $20.8M, up 21% from $17.2M in the Second Quarter Last Year and up 18% Year-over-Year for the First Half of Fiscal 2023 Second Quarter Adjusted EBITDA Improved 19% Year-over-Year and 66% Year-over-Year for the First Half of Fiscal 2023 LOS ANGELES, CA / BUSINESS WIRE |
|
| October 13, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Capstone Green Energy Corporation (Exact name of Registrant as Specified in its Charter) Table 1 - Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $0. |
|
| October 13, 2022 |
As filed with the Securities and Exchange Commission on October 12, 2022 As filed with the Securities and Exchange Commission on October 12, 2022 Registration No. |
|
| October 13, 2022 |
Capstone Green Energy Corporation 2017 Equity Incentive Plan, as amended through September 12, 2022. EX-99.1 4 tmb-20221012xex99d1.htm EX-99.1 Exhibit 99.1 CAPSTONE GREEN ENERGY CORPORATION 2017 EQUITY INCENTIVE PLAN AS AMENDED THROUGH SEPTEMBER 12, 2022 SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Capstone Green Energy Corporation 2017 Equity Incentive Plan, as amended (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, Non |
|
| September 30, 2022 |
EXHIBIT 99.1 ? Capstone Green Energy Announces The Appointment of Celia Fanning as Chief Accounting Officer & Controller ? LOS ANGELES, CA / BUSINESS WIRE / September 30, 2022 / Capstone Green Energy Corporation (NASDAQ: CGRN), a global leader in carbon reduction and on-site resilient green energy solutions, announced today the appointment of Celia Fanning to the position of Chief Accounting Offic |
|
| September 30, 2022 |
? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): September 30, 2022 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdic |
|
| September 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2022 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission Fil |
|
| September 15, 2022 |
Exhibit 10.1 Amendment No. 1 to Rights Agreement This Amendment No. 1 to the Rights Agreement (this ?Amendment?) is made as of September 12, 2022 and amends that certain Rights Agreement dated as of May 6, 2019 (the ?Rights Agreement?), by and between Capstone Green Energy Corporation, a Delaware Corporation (the ?Company?), and Broadridge Financial Solutions, Inc., a Delaware corporation, as righ |
|
| September 15, 2022 |
Exhibit 10.2 AMENDMENT NO. 6 TO THE CAPSTONE GREEN ENERGY CORPORATION 2017 EQUITY INCENTIVE PLAN This Amendment No. 6 (this ?Amendment?) to the Capstone Green Energy Corporation 2017 Equity Incentive Plan (the ?Plan?), of Capstone Green Energy Corporation, a Delaware corporation (the ?Company?) is effective as of the date of approval by the Company?s stockholders (the ?Effective Date?). Capitalize |
|
| August 23, 2022 |
Capstone Green Energy Announces Pricing of Approximately $8.0 million Underwritten Public Offering Exhibit 99.2 Capstone Green Energy Announces Pricing of Approximately $8.0 million Underwritten Public Offering LOS ANGELES ? (BUSINESS WIRE) ? August 19, 2022 - Capstone Green Energy (Nasdaq: CGRN) (?Capstone?, or the ?Company?), a global leader in carbon reduction and on-site resilient green Energy as a Service (EaaS) solutions, today announced the pricing of an underwritten public offering cons |
|
| August 23, 2022 |
Exhibit 1.1 UNDERWRITING AGREEMENT CAPSTONE GREEN ENERGY CORPORATION 2,934,498 Shares of Common Stock and 2,934,498 Warrants to Purchase 2,934,498 Shares of Common Stock August 18, 2022 Lake Street Capital Markets, LLC As Representative of the several Underwriters named in Schedule I hereto c/o Lake Street Capital Markets, LLC 920 Second Avenue South, Suite 700 Minneapolis, Minnesota 55402 Ladies |
|
| August 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 18, 2022 CAPSTONE GREEN ENERGY CORPORATION (Exact name of Registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or Other Jurisdiction of Incorporation) ( |
|
| August 23, 2022 |
Form of Common Stock Purchase Warrant. Exhibit 4 FORM OF COMMON STOCK PURCHASE WARRANT CAPSTONE GREEN ENERGY CORPORATION Warrant Shares: Initial Exercise Date: August 23, 2022 Issue Date: August 23, 2022 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after August 23, 2022 (the ?Initial Exercise Date?) and on or prior to 5:00 p. |
|
| August 23, 2022 |
Capstone Green Energy Announces Launch of Underwritten Public Offering Exhibit 99.1 Capstone Green Energy Announces Launch of Underwritten Public Offering LOS ANGELES ? (BUSINESS WIRE) ? August 18, 2022 ? Capstone Green Energy (Nasdaq: CGRN) (?Capstone?, or the ?Company?), a global leader in carbon reduction and on-site resilient green Energy as a Service (EaaS) solutions, today announced that it has commenced an underwritten public offering of shares of its common s |
|
| August 23, 2022 |
Capstone Green Energy Announces Closing of Approximately $8.0 million Underwritten Public Offering Exhibit 99.3 Capstone Green Energy Announces Closing of Approximately $8.0 million Underwritten Public Offering LOS ANGELES - (BUSINESS WIRE) ? August 23, 2022 - Capstone Green Energy (Nasdaq: CGRN) ("Capstone," or the "Company"), a global leader in carbon reduction and on-site resilient green Energy as a Service (EaaS) solutions, today announced the closing of its previously announced underwritte |
|
| August 22, 2022 |
TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(5) ?Registration No. 333-254547? PROSPECTUS SUPPLEMENT (to Prospectus dated April 14, 2021) CAPSTONE GREEN ENERGY CORPORATION 2,934,498 Shares of Common Stock Warrants to Purchase up to 2,934,498 Shares of Common Stock We are offering 2,934,498 shares of our common stock, par value $0.001 per share, including rights associated with our NOL rights pl |
|
| August 18, 2022 |
Subject to Completion, Dated August 18, 2022 TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed. |
|
| August 18, 2022 |
CAPSTONE GREEN ENERGY CORPORATION Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-254547 PROSPECTUS SUPPLEMENT NO. 1 (TO PROSPECTUS DATED APRIL 14, 2021) CAPSTONE GREEN ENERGY CORPORATION $50,000,000 Common Stock This Prospectus Supplement No. 1 (?Supplement No. 1?) amends and supplements the information in the prospectus (the ?ATM Prospectus?) included with Capstone Green Energy Corporation?s (?we?, ?us? and ?our?) registra |
|
| August 11, 2022 |
EXHIBIT 99.1 ? Capstone Green Energy (NASDAQ: CGRN) Announces First Quarter Fiscal 2023 Financial Results Positive Adjusted EBITDA as EaaS Business Continues to Grow Revenues of $18.7M, up 18% Sequentially from $15.8M LOS ANGELES, CA / BUSINESS WIRE / August 11, 2022 / Capstone Green Energy Corporation (NASDAQ: CGRN) announced its financial results for the first quarter ended June 30, 2022, postin |
|
| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-15957 Capston |
|
| August 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): August 11, 2022 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdictio |
|
| July 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A ? Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? ? Filed by the Registrant ? ? Filed by a Party other than the Registrant ? ? Check the appropriate box: ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a- |
|
| July 29, 2022 |
? ? ? ? ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A ? Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? ? Filed by the Registrant ? ? Filed by a Party other than the Registrant ? ? Check the appropriate box: ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitte |
|
| July 19, 2022 |
PRE 14A 1 cgrn-20220825xpre14a.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ⌧ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only |
|
| July 14, 2022 |
Exhibit 10.28 ? CAPSTONE GREEN ENERGY CORPORATION CONSULTING AGREEMENT This Consulting Agreement (?Agreement?) is entered into as of May 22, 2022 (?Effective Date?), by and between Capstone Green Energy Corporation (the ?Company?), a Delaware corporation, and Capstone Engineered Solutions (?Consultant?), a California corporation. The Company desires to retain Consultant as an independent contracto |
|
| July 14, 2022 |
Exhibit 4.16 SECOND AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT ? ? THIS SECOND AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (this ?Second Amendment?) is entered into as of July 13, 2022 by and among CAPSTONE GREEN ENERGY CORPORATION, a Delaware corporation formerly known as CAPSTONE TURBINE CORPORATION (the ?Company?), the Purchaser signatory hereto and GOLDMAN SACHS SP |
|
| July 14, 2022 |
Exhibit 10.29 ? NATIONAL ACCOUNT AGREEMENT between Capstone Green Energy Corporation ("Capstone") and Capstone Engineered Solutions (CES) ("Purchaser") 1. Introduction and Purpose. This National Account Agreement (this ?Agreement?) is between Capstone, a Delaware corporation, located at 16640 Stagg St., Van Nuys, California 91406, and Purchaser, Capstone Engineered Solutions, a California Corporat |
|
| July 14, 2022 |
EX-10.30 5 cgrn-20220331xex10d30.htm EX-10.30 Exhibit 10.30 Capstone Engineered Solutions Corporation 27812 Pollensa M ission Viejo, CA 92692 US jdcrouse@m e.com Estimate ADDRESS Capstone Green Energy Corporation 16640 Stagg St Van Nuys, CA 91406 ESTIMATE 1002 DATE 04/26/2022 EXPIRATION DATE 05/15/2022 DATE SERVICE DESCRIPTION QTY RATE AMOUNT 04/26/2022 Rental System Installation Travel and Per Di |
|
| July 14, 2022 |
Exhibit 21 SUBSIDIARY LIST Capstone Turbine International, Inc., a Delaware corporation Capstone Turbine Financial Services, LLC, a Delaware limited liability company |
|
| July 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| July 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 8, 2022 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Numb |
|
| June 29, 2022 |
NT 10-K 1 tmb-20220331xnt10k.htm NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 1-15957 CUSIP NUMBER: 14067D508 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition |
|
| June 24, 2022 |
? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): June 20, 2022 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdiction |
|
| June 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM SD Specialized Disclosure Report ? CAPSTONE GREEN ENERGY CORPORATION ? (Exact name of registrant as specified in its charter) ? ? Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incorporation) Identification No.) ? ? 16640 Stagg Street, ? Van Nuys, California ? 914 |
|
| June 1, 2022 |
Conflict Minerals Report of Capstone Green Energy Corporation EX-1.01 2 tmb-20220531xex1d01.htm EX-1.01 Exhibit 1.01 Capstone Green Energy Corporation Conflict Minerals Report For the reporting period from January 1, 2021 to December 31, 2021 This Conflict Minerals Report (the “Report”) of Capstone Green Energy Corporation (the “Company”, “We”, “Our”, “Us”) for the reporting period from January 1, 2021 to December 31, 2021 has been prepared pursuant to Rule |
|
| March 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2022 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Nu |
|
| March 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2022 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File |
|
| March 3, 2022 |
EXHIBIT 99.1 ? Capstone Green Energy Reducing Operating Costs as the Business Model Shifts Towards Energy as a Service Lower Operating Costs Combined with Rental Fleet Deployments to Improve Financial Performance VAN NUYS, CA / BUSINESS WIRE / March 3, 2022 / Capstone Green Energy Corporation (www.CapstoneGreenEnergy.com) (NASDAQ:CGRN) ("Capstone," the "Company," ?we? or ?us?), a global leader in |
|
| February 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q f+ ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 ? or ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ? Commission File Number: 001 |
|
| February 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): February 10, 2022 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdict |
|
| February 10, 2022 |
EXHIBIT 99.1 ? Capstone Green Energy Reports Third Quarter Fiscal 2022 Financial Results Total Revenue of $20.6 Million up 20% Sequentially Long-term Microturbine Rental Fleet Increased 4.6 MWs to 17.7 MWs from 13.1 MWs Webcast to be Held Today, February 10, 2022 at 1:45 PM PT; 4:45 PM ET VAN NUYS, CA / BUSINESS WIRE / February 10, 2022 / Capstone Green Energy Corporation (www.CapstoneGreenEnergy. |
|
| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q f+ ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ? or ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ? Commission File Number: 00 |
|
| November 10, 2021 |
EXHIBIT 99.1 ? Capstone Green Energy (NASDAQ: CGRN) Reports Second Quarter Fiscal 2022 Financial Results Total Revenue Grew 15% Quarter-Over-Quarter, 14% Year-Over-Year, and 7% Sequentially Book-to-Bill Ratio of 1.3:1 for the Quarter with New Gross Product Orders of $10.8M Webcast to be Held Today, November 10, 2021 at 1:45 PM PT; 4:45 PM ET VAN NUYS, CA / ACCESSWIRE / November 10, 2021 / Capstone |
|
| November 10, 2021 |
Capstone Green Energy Corporation 2017 Equity Incentive Plan, as amended through August 27, 2021 (a) Exhibit 4.3 ? CAPSTONE GREEN ENERGY CORPORATION 2017 EQUITY INCENTIVE PLAN AS AMENDED THROUGH AUGUST 27, 2021 ? SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS ? The name of the plan is the Capstone Green Energy Corporation 2017 Equity Incentive Plan, as amended (the ?Plan?). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and Consultants of C |
|
| November 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): November 10, 2021 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdict |
|
| November 10, 2021 |
? Exhibit 3.2 ? ? ? ? FIFTH AMENDED AND RESTATED BYLAWS OF CAPSTONE GREEN ENERGY CORPORATION (Conformed copy incorporating all amendments through August 26, 2021) ? ? ? ? ?? ? ? ? ? ? TABLE OF CONTENTS Page Article I - OFFICES?1 Section 1.Registered Office?1 Section 2.Other Offices?1 Article II - STOCKHOLDERS?1 Section 1.Place of Meetings?1 Section 2.Annual Meetings of Stockholders?1 Section 3.Spe |
|
| September 16, 2021 |
Form S-8 filed with the SEC on September 15, 2021 As filed with the Securities and Exchange Commission on September 15, 2021 Registration No. |
|
| September 16, 2021 |
Capstone Green Energy Corporation 2017 Equity Incentive Plan, as amended through August 27, 2021. EX-99.1 4 tm2127653d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 CAPSTONE GREEN ENERGY CORPORATION 2017 EQUITY INCENTIVE PLAN AS AMENDED THROUGH AUGUST 27, 2021 SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Capstone Green Energy Corporation 2017 Equity Incentive Plan, as amended (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, Non |
|
| August 31, 2021 |
First Amendment to Fifth Amended and Restated Bylaws of Capstone Green Energy Corporation EX-3.1 2 cgrn-20210826xex3d1.htm EX-3.1 Exhibit 3.1 FIRST AMENDMENT TO FIFTH AMENDED AND RESTATED BYLAWS OF CAPSTONE GREEN ENERGY CORPORATION WHEREAS, the Board of Directors (“Board”) of Capstone Green Energy Corporation a Delaware corporation (the “Corporation”) resolved to amend the Corporation’s Fifth Amended and Restated Bylaws (the “Bylaws”), by Resolution of the Board of Directors dated Augu |
|
| August 31, 2021 |
Amendment No. 4 to Capstone Green Energy Corporation 2017 Equity Incentive Plan Exhibit 10.1 ? AMENDMENT NO. 4 TO THE CAPSTONE GREEN ENERGY CORPORATION 2017 EQUITY INCENTIVE PLAN This Amendment No. 4 (this ?Amendment?) to the Capstone Green Energy Corporation 2017 Equity Incentive Plan (the ?Plan?), of Capstone Green Energy Corporation, a Delaware corporation (the ?Company?) is effective as of the date of approval by the Company?s stockholders (the ?Effective Date?). Capitali |
|
| August 31, 2021 |
? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): August 26, 2021 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdictio |
|
| August 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): August 11, 2021 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdictio |
|
| August 11, 2021 |
EX-3.1 2 cgrn-20210630xex3d1.htm EX-3.1 Exhibit 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CAPSTONE GREEN ENERGY CORPORATION (Conformed copy incorporating all amendments through April 21, 2021) CAPSTONE GREEN ENERGY CORPORATION, a corporation organized and existing under the General Corporation Law of the State of Delaware (the “Corporation”), does hereby certify: FIRST:The na |
|
| August 11, 2021 |
EXHIBIT 99.1 ? Capstone Green Energy (NASDAQ: CGRN) Reports First Quarter Fiscal 2022 Financial Results Total Revenue Grew 13% Year-Over-Year Cash and Cash Equivalents of $49.2M Book-to-Bill Ratio of 1:1 for the Quarter with New Gross Product Orders of $8.2M Webcast to be Held Today, August 11, 2021 at 1:45 PM PT; 4:45 PM ET ? VAN NUYS, CA / ACCESSWIRE / August 11, 2021 / Capstone Green Energy Cor |
|
| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q f+ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-15957 Capston |
|
| July 13, 2021 |
DEFA14A 1 tmb-20210713xdefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only |
|
| July 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A ? Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? ? Filed by the Registrant ? ? Filed by a Party other than the Registrant ? ? Check the appropriate box: ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a- |
|
| July 1, 2021 |
8-K 1 cgrn-20210630x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2021 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other ju |
|
| June 22, 2021 |
CAPSTONE GREEN ENERGY CORPORATION 1,904,763 Shares of Common Stock TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-254547 PROSPECTUS SUPPLEMENT (to Prospectus dated April 14, 2021) CAPSTONE GREEN ENERGY CORPORATION 1,904,763 Shares of Common Stock We are offering 1,904,763 shares of our common stock, par value $0.001 per share, including rights associated with our NOL rights plan, pursuant to this prospectus supplement and the accompanyi |
|
| June 22, 2021 |
EX-1.01 2 tm2119623d8ex1-01.htm EXHIBIT 1.01 Exhibit 1.01 1,904,763 SHARES of Common Stock of CAPSTONE GREEN ENERGY CORPORATION AMENDED AND RESTATED UNDERWRITING AGREEMENT June 17, 2021 H.C. Wainwright & Co., LLC As the Representative of the several underwriters, if any, named in Schedule I hereto 430 Park Avenue New York, New York 10022 Ladies and Gentlemen: The undersigned, Capstone Green Energy |
|
| June 22, 2021 |
Capstone Increases Previously Announced Bought Deal Offering of Common Stock to $10.0 Million Exhibit 99.2 Capstone Increases Previously Announced Bought Deal Offering of Common Stock to $10.0 Million VAN NUYS, CA, / ACCESSWIRE / June 17, 2021 / - Capstone Green Energy Corporation (Nasdaq: CGRN) (?Capstone?, or the ?Company?), a global leader in carbon reduction and on-site resilient green energy solutions, today announced that, due to demand, the Company and the underwriter have decided t |
|
| June 22, 2021 |
8-K 1 tm2119623d88k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 17, 2021 CAPSTONE GREEN ENERGY CORPORATION (Exact name of Registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or Other J |
|
| June 22, 2021 |
EX-99.3 6 tm2119623d8ex99-3.htm EXHIBIT 99.3 Exhibit 99.3 Capstone Announces Closing of $11.5 Million Bought Deal Offering of Common Stock and Full Exercise of the Option to Purchase Additional Shares VAN NUYS, CA, / ACCESSWIRE / June 22, 2021 / - Capstone Green Energy Corporation (Nasdaq: CGRN) (“Capstone”, or the “Company”), a global leader in carbon reduction and on-site resilient green energy |
|
| June 22, 2021 |
Capstone Announces $5.0 Million Bought Deal Offering of Common Stock Exhibit 99.1 Capstone Announces $5.0 Million Bought Deal Offering of Common Stock VAN NUYS, CA, / ACCESSWIRE / June 17, 2021 / - Capstone Green Energy Corporation (Nasdaq: CGRN) (?Capstone?, or the ?Company?), a global leader in carbon reduction and on-site resilient green energy solutions, today announced that it has entered into an underwriting agreement with H.C. Wainwright & Co. under which th |
|
| June 18, 2021 |
Capstone Increases Previously Announced Bought Deal Offering of Common Stock to $10.0 Million Filed pursuant to Rule 433 Issuer Free Writing Prospectus Dated June 17, 2021 Relating to the Preliminary Prospectus Supplement dated June 17, 2021 Registration Statement No. |
|
| June 17, 2021 |
Capstone Announces $5.0 Million Bought Deal Offering of Common Stock Filed pursuant to Rule 433 Issuer Free Writing Prospectus Dated June 17, 2021 Relating to the Preliminary Prospectus Supplement dated June 17, 2021 Registration Statement No. |
|
| June 17, 2021 |
Subject to Completion, Dated June 17, 2021 424B5 1 tm2119623-3424b5.htm 424B5 TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission and is effective. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are n |
|
| June 14, 2021 |
Exhibit 21 SUBSIDIARY LIST Capstone Turbine International, Inc., a Delaware corporation Capstone Turbine Financial Services, LLC, a Delaware limited liability company |
|
| June 14, 2021 |
Table of Contents ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| June 10, 2021 |
EXHIBIT 99.1 ? Capstone Green Energy (NASDAQ: CGRN) Reports Fourth Quarter & Full-Year Fiscal 2021 Financial Results ? Outlines Goals for New Fiscal Year ? Annual Cash Provided by Operating Activities of $1.7M ? Highest in Company History Cash and Cash Equivalents Expands to $49.5M Financial Results Webcast to be Held Today, June 10, 2021 at 1:45 PM PT; 4:45 PM ET VAN NUYS, CA / ACCESSWIRE / June |
|
| June 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): June 10, 2021 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdiction |
|
| May 28, 2021 |
SD 1 tmb-20210528xsd.htm SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incorporation) Identification No.) 16640 Stagg Street, Van Nuys, Cali |
|
| May 28, 2021 |
Conflict Minerals Report of Capstone Green Energy Corporation Exhibit 1.01 Capstone Green Energy Corporation Conflict Minerals Report For the reporting period from January 1, 2020 to December 31, 2020 ? This Conflict Minerals Report (the ?Report?) of Capstone Green Energy Corporation (the ?Company?, ?We?, ?Our?, ?Us?) for the reporting period from January 1, 2020 to December 31, 2020 has been prepared pursuant to Rule 13p-1 and Form SD (the ?Rule?) promulgat |
|
| May 14, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 cpst-20210513x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2021 CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jur |
|
| May 14, 2021 |
Exhibit 10.1 ? FIRST AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT ? ? THIS FIRST AMENDMENT TO AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (this ?First Amendment?) is entered into as of May 12, 2021 by and among CAPSTONE GREEN ENERGY CORPORATION, a Delaware corporation formerly known as CAPSTONE TURBINE CORPORATION (the ?Company?), the Purchaser signatory hereto and GOLDMAN SACHS SPEC |
|
| April 22, 2021 |
Exhibit 3.1 ? ? CERTIFICATE OF AMENDMENT OF THE SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CAPSTONE TURBINE CORPORATION Capstone Turbine Corporation (the ?Corporation?), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?Act?), DOES HEREBY CERTIFY THAT: 1. Article I of the Second Amended and Restated Certificate o |
|
| April 22, 2021 |
EXHIBIT 99.1 ? ? Capstone Turbine Corporation Celebrates Earth Day 2021 with Its Transformation into Capstone Green Energy Corporation (NASDAQ: CGRN); Adding New Business Lines, Product Offerings and Network Partners ? Capstone CEO, Darren Jamison Provides a Virtual New Company Overview VAN NUYS, CA / ACCESSWIRE / April 22, 2021 / Capstone Turbine Corporation (www.capstoneturbine.com) (NASDAQ: CPS |
|
| April 22, 2021 |
EX-3.2 3 cpst-20210422xex3d2.htm EX-3.2 Exhibit 3.2 FIFTH AMENDED AND RESTATED BYLAWS OF CAPSTONE GREEN ENERGY CORPORATION TABLE OF CONTENTS Page Article I – OFFICES1 Section 1. Registered Office1 Section 2. Other Offices1 Article II – STOCKHOLDERS1 Section 1. Place of Meetings.1 Section 2. Annual Meetings of Stockholders1 Section 3. Special Meetings2 Section 4. Notice of Stockholders’ Meet |
|
| April 22, 2021 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): April 22, 2021 ? CAPSTONE GREEN ENERGY CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdicti |
|
| April 12, 2021 |
CORRESP 1 filename1.htm April 12, 2021 Via EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Matthew Derby Re: Capstone Turbine Corporation Registration Statement on Form S-3 (File No. 333-254547) Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, Capstone Turbine Corporati |
|
| April 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 cpst-20210412x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 12, 2021 CAPSTONE TURBINE CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisd |
|
| April 12, 2021 |
EX-99.1 2 cpst-20210412xex99d1.htm EX-99.1 EXHIBIT 99.1 Capstone Turbine Reports certain preliminary unaudited 4th QUARTEr results revenue up 53% year-over-year 1.5:1 Product Book-to-Bill Ratio & Total Cash Grows to $49.5 Million VAN NUYS, CA / ACCESSWIRE / April 12, 2021 / Capstone Turbine Corporation (www.capstoneturbine.com) (NASDAQ: CPST) (“Capstone” or the “Company”), the world’s leading manu |
|
| March 22, 2021 |
Exhibit 10.1 March 19, 2021 Capstone Turbine Corporation 16640 Stagg Street Van Nuys, California 91406 Attention: Darren Jamison, President and Chief Executive Officer Reference is made to that certain At The Market Offering Agreement, entered into by and between Capstone Turbine Corporation (the ?Company?) and H.C. Wainwright & Co., LLC (?Wainwright?), dated as of June 7, 2018 (the ?Original ATM |
|
| March 22, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 tm2110348d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 19, 2021 CAPSTONE TURBINE CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other juri |
|
| March 22, 2021 |
Form of Subordinated Indenture** Exhibit 4.5 SUBORDINATED INDENTURE CAPSTONE TURBINE CORPORATION ISSUER and [] Dated as of [] [], 20[] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 5 Section 1.03 Incorporation by Reference of Trust Indenture Act 5 Section 1.04 Rules of Construction 6 ARTICLE II THE SECURITIES 6 Section 2.01 Issuable in Serie |
|
| March 22, 2021 |
EX-4.4 2 tm2110169d2ex4-4.htm EXHIBIT 4.4 Exhibit 4.4 SENIOR INDENTURE CAPSTONE TURBINE CORPORATION ISSUER and [] Dated as of [] [], 20[] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions. 1 Section 1.02 Other Definitions. 5 Section 1.03 Incorporation by Reference of Trust Indenture Act 5 Section 1.04 Rules of Construction 6 ARTICLE II THE SECUR |
|
| March 22, 2021 |
S-3 1 tm2110169-1s3.htm S-3 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on March 22, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CAPSTONE TURBINE CORPORATION (Exact name of Registrant as specified in its charter) Delaware (State or other jurisdict |
|
| February 22, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): February 22, 2021 ? CAPSTONE TURBINE CORPORATION (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-15957 95-4180883 (State or other jurisdiction |
|
| February 22, 2021 |
CAPSTONE TO RECEIVE $5 MILLION IN SETTLEMENT WITH FORMER SUPPLIER EXHIBIT 99.1 CAPSTONE TO RECEIVE $5 MILLION IN SETTLEMENT WITH FORMER SUPPLIER VAN NUYS, CA / ACCESSWIRE / February 22, 2021 / Capstone Turbine Corporation (www.capstoneturbine.com) (NASDAQ: CPST), the world's leading manufacturer of clean technology microturbine energy systems, announced today that it has reached a financial settlement in the amount of five million dollars arising out of claims p |
|
| February 9, 2021 |
EX-99.1 2 cpst-20210209xex99d1.htm EX-99.1 EXHIBIT 99.1 Capstone Reports THIRD quarter fiscal 2021 financial results Highest Revenue in More Than a Year, Up 39% Sequentially and 19% Year-Over-Year Q3 New Gross Product Bookings Up 7% Sequentially and Increasing 91% Over Q1 Cash Increased to $32.0 Million From $16.8 Million With New Goldman Sachs 3-Year Note Financial Results Webcast to be Held Toda |
|
| February 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2021 CAPSTONE TURBINE CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Numbe |
|
| February 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q + UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-15957 Caps |
|
| January 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 6, 2021 CAPSTONE TURBINE CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Number |
|
| January 6, 2021 |
EX-99.1 2 cpst-20210106xex99d1.htm EX-99.1 EXHIBIT 99.1 Capstone Turbine delivers highest QUARTERly revenue in more than a year at $20.6m, up 38% sequentially AND 18% year-over-year Cash Increased to $32.0M from $16.8M with New Goldman Sachs 3-Year Term Note VAN NUYS, CA / ACCESSWIRE / January 6, 2021 / Capstone Turbine Corporation (www.capstoneturbine.com) (NASDAQ: CPST), the world’s leading clea |
|
| November 10, 2020 |
EXHIBIT 99.1 Capstone Turbine (NASDAQ: CPST) Reports SECOND quarter fiscal 2021 financial results $1.9 Million Positive Cash from Operating Activities Representing a $3.7 Million Improvement Quarter-Over-Quarter and an $8.2 Million Improvement Year-Over-Year New Gross Product Orders of $9.8 Million in the Quarter Compared to $5.5 Million in the Previous Quarter Representing a Positive Book-to-Bill |
|
| November 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2020 CAPSTONE TURBINE CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-15957 95-4180883 (State or other jurisdiction (Commission File Numb |
|
| November 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q + ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 ? or ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ? Commission File Number: 001 |
