SEC Filing Document

Company: ERock, Inc.
Ticker: 
CIK: 2110029
Filing Type: DRS/A
Document Type: DRS/A
Date Filed: 2026-04-01
Accession Number: 0001193125-26-138217
Exchange: 
SIC Code: 3620
SIC Description: Electrical Industrial Apparatus
URL: https://www.sec.gov/Archives/edgar/data/2110029/000119312526138217/filename1.htm

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stepchild, parent, stepparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law or sister-in-law of a director, executive officer or a beneficial owner of more than 5.0% of any class of our common stock, and any person (other than a tenant or employee) sharing the household of such director, executive officer or beneficial owner of more than 5.0% of any class of our common stock. In approving or disapproving any Related Person Transaction, we expect that our audit committee will consider the relevant facts and circumstances available and deemed relevant to the audit committee. Any member of the audit committee who is a Related Person with respect to a transaction under review will not be permitted to participate in the deliberations or vote on approval or disapproval of the transaction. We did not have a formal review and approval policy for related person transactions at the time of any transaction described above.

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SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT

The following table sets forth information with respect to the beneficial ownership of our common stock that, upon
the consummation of this offering and transactions related thereto, will be owned by:

• each person known to us to beneficially own more than 5% of the outstanding shares of our common stock;

• each of our named executive officers, directors and director nominees; and

• all of our executive officers and directors as a group.

The percentage ownership information shown in the table is based on    shares of our common stock
outstanding as of    , 2026, after giving effect to the Reorganization and the sale of     shares of Class A common stock in this offering. The table does not reflect any shares of our common
stock that may be issued under the 2026 Plan or 2026 ESPP as described under “Executive Compensation—2026 Equity Incentive Plan” and “Executive Compensation—2026 Employee Stock Purchase Plan.”

Unless otherwise indicated below, the address of each beneficial owner listed below is c/o ERock, Inc., 1113 Vine Street,
Suite 101, Houston, Texas 77002.

Shares Beneficially Owned Prior to This Offering Shares Beneficially Owned After This Offering (No Exercise) Shares Beneficially Owned After This Offering (Full Exercise)

Name or Beneficial Owner Number % Class A common stock Class B common stock Combined Voting Power Class A common stock Class B common stock Combined Voting Power

Number % Number % Number % Number % Number % Number %

5% Shareholders:

Entities affiliated with our Sponsor % % % % % % %

Named Executive Officers, Directors and Director Nominees:

John Carrington % % % % % % %

Corey Amthor % % % % % % %

Ian Blakely % % % % % % %

Paul Froutan % % % % % % %

Davis Zapffe % % % % % % %

Thomas McAndrew % % % % % % %

Charles Boynton % % % % % % %

Dan Brouillette % % % % % % %

Hans Kobler % % % % % % %

Mark Patterson % % % % % % %

Sameer Reddy % % % % % % %

Tony Satterthwaite % % % % % % %

All executive officers, directors and director nominees as a group (  persons) % % % % % % %

*	Represents holdings of less than 1% of any class of our common stock.

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DESCRIPTION OF CAPITAL STOCK

Upon completion of this offering, the authorized capital stock of ERock will consist of    shares of
Class A common stock, $0.01 par value per share, of which    shares will be issued and outstanding,     shares of Class B common stock, $0.01 par value per share, of
which    shares will be issued and outstanding and      shares of preferred stock, $0.01 par value per share, of which no shares will be issued and outstanding.

The following summary of the capital stock and certificate of incorporation and bylaws of ERock, Inc. does not purport to be
complete and is qualified in its entirety by reference to the provisions of applicable law and to our certificate of incorporation and bylaws, which are filed as exhibits to the registration statement of which this prospectus is a part.

Common Stock

We will
have two classes of authorized common stock: Class A common stock; and Class B common stock. Each share of Class A common stock and Class B common stock is entitled to one vote per share on all matters presented to our
stockholders generally. Holders of our common stock will vote together as a single class on all matters presented to our stockholders for their vote or approval, except as provided in our certificate of incorporation or as otherwise required by
applicable law. Holders of the Class A common stock and Class B common stock, as the case may be, would have a separate class vote if we subdivide, combine or reclassify shares of the other class without concurrently subdividing, combining
or reclassifying shares of such class in a proportional manner. Pursuant to the DGCL, the holders of the outstanding shares of a class shall be entitled to vote as a class upon a proposed amendment, whether or not entitled to vote thereon by the
certificate of incorporation, if the amendment would increase or decrease the par value of the shares of such class or alter or change the powers, preferences, or special rights of the shares of such class so as to affect them adversely.

Class A Common Stock

Voting Rights. Holders of our Class A common stock are entitled to one vote per share held of record on all matters
to be voted upon by the stockholders. The holders of Class A common stock do not have cumulative voting rights in the election of directors.

Dividend Rights. Holders of our Class A common stock are entitled to ratably receive dividends when and if
declared by our board of directors out of funds legally available for that purpose, subject to any statutory or contractual restrictions on the payment of dividends and to any prior rights and preferences that may be applicable to any outstanding
preferred stock.

Liquidation Rights. Upon our liquidation, dissolution, distribution of assets or other winding
up, the holders of our Class A common stock are entitled to receive ratably the assets available for distribution to the stockholders after payment of liabilities and the liquidation preference of any of our outstanding shares of preferred
stock.

Issuance of Additional Class A Common Stock. We may issue additional shares of
Class A common stock from time to time, subject to applicable provisions of our certificate of incorporation, bylaws and Delaware law. We are obligated to issue Class A common stock (subject to the transfer and exchange restrictions set
forth in the partnership agreement) to holders of Class B Units who exchange those interests for shares of our Class A common stock on a one-for-one basis
(unless we elect to satisfy such exchange for cash). When a Class B interest is exchanged for a share of our Class A common stock, the corresponding share of our Class B common stock will automatically be retired and restored to the
status of an authorized but unissued share of Class B common stock.

Table of Contents

Other Matters. Shares of Class A common stock have no preemptive
or conversion rights and are not subject to further calls or assessment by us. There are no redemption or sinking fund provisions applicable to the Class A common stock. All outstanding shares of our Class A common stock, including the
Class A common stock offered in this offering, are fully paid and non-assessable.

Class B Common Stock

Voting Rights. Holders of our Class B common stock are entitled to one vote per share held of record on all matters
to be voted upon by the stockholders. The holders of Class B common stock do not have cumulative voting rights in the election of directors.

Dividend Rights. Holders of our Class B common stock are not entitled to dividends or any other economic rights in
respect of their shares of Class B common stock.

Liquidation Rights. Upon our liquidation, dissolution,
distribution of assets or other winding up, the holders of our Class B common stock will not be entitled to receive any distributions above the par value of the Class B common stock.

Other Matters. Holders of our Class B common stock do not have preemptive, subscription, redemption or conversion
rights. The Class B common stock is subject to automatic retirement upon an exchange of a Class B Unit of ER Holdings for a share of Class A common stock. Subject to the terms of the certificate of incorporation, the shares of
Class B common stock are non-transferable.

Preferred Stock