Basic Stats
| LEI | 54930057ZPWHKA596Q70 |
| CIK | 1807707 |
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 AppHarvest Inc
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| February 14, 2024 |
APPH / AppHarvest Inc / Rise of the Rest Seed Fund, LP - SC 13G/A Passive Investment SC 13G/A 1 tm246058d1sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1) Under the Securities Exchange Act of 1934 appHarvest, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 03783T 103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of This Statement) Check t |
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| December 5, 2023 |
As filed with the U.S. Securities and Exchange Commission on December 5, 2023. As filed with the U.S. Securities and Exchange Commission on December 5, 2023. Registration No. 333-261679 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT No. 2 TO FORM S-1 ON FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Delaware AppHarvest, Inc. 82-5042965 (State or other jurisdiction of incorporation or organization) (Exact nam |
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| December 5, 2023 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION Exhibit 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION In re: APPHARVEST PRODUCTS, LLC, et al. Debtors.1 Chapter 11 Case No. 23-90745 (CML) (Jointly Administered) NOTICE OF (I) ENTRY OF ORDER CONFIRMING THE SECOND AMENDED JOINT PLAN OF LIQUIDATION OF APPHARVEST PRODUCTS, LLC AND ITS DEBTOR AFFILIATES, (II) SOMERSET CLOSING, AND (III) OCCURRENCE OF TH |
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| December 5, 2023 |
As filed with the U.S. Securities and Exchange Commission on December 5, 2023. As filed with the U.S. Securities and Exchange Commission on December 5, 2023. Registration No. 333-252964 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT No. 4 TO FORM S-1 ON FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Delaware AppHarvest, Inc. 82-5042965 (State or other jurisdiction of incorporation or organization) (Exact nam |
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| December 5, 2023 |
As filed with the U.S. Securities and Exchange Commission on December 5, 2023. As filed with the U.S. Securities and Exchange Commission on December 5, 2023. Registration No. 333-255068 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Delaware AppHarvest, Inc. 82-5042965 (State or other jurisdiction of incorporation or organization) (Exact name of registr |
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| December 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-39288 AppHarvest, Inc. (Exact name of registrant as specified in its cha |
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| December 5, 2023 |
As filed with the U.S. Securities and Exchange Commission on December 5, 2023. As filed with the U.S. Securities and Exchange Commission on December 5, 2023. Registration No. 333-266502 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT No. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Delaware AppHarvest, Inc. 82-5042965 (State or other jurisdiction of incorporation or organization) (Exact name of registr |
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| December 5, 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): December 1, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| November 28, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OFSOUTHERN TEXAS In Re. |
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| November 28, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OFSOUTHERN TEXAS In Re. |
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| November 28, 2023 |
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): November 21, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| October 27, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OFSOUTHERN TEXAS In Re. |
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| October 27, 2023 |
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): October 23, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| October 27, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OFSOUTHERN TEXAS In Re. |
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| October 27, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OFSOUTHERN TEXAS In Re. |
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| October 27, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OFSOUTHERN TEXAS In Re. |
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| October 27, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OFSOUTHERN TEXAS In Re. |
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| October 27, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OFSOUTHERN TEXAS In Re. |
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| October 5, 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 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission Fil |
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| September 20, 2023 |
FIRST AMENDMENT TO LEASE AGREEMENT Exhibit 10.6 FIRST AMENDMENT TO LEASE AGREEMENT THIS FIRST AMENDMENT TO AGREEMENT (the “Amendment”) is made and entered into as of September 15, 2023, by and between APPHARVEST OPERATIONS, INC., a Delaware corporation (the “Lessor”), and CEFF II APPHARVEST HOLDINGS, LLC, a Delaware limited liability company (the “Lessee”). WITNESSETH: WHEREAS, Lessor and Lessee entered into that certain Lease Agre |
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| September 20, 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 14, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission Fil |
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| September 20, 2023 |
Exhibit 10.2 Execution Version Privileged & Confidential Subject to FRE 408 and State Law Analogues LEASE AGREEMENT THIS LEASE AGREEMENT (the “Lease”) is made and entered into as of September 14, 2023 (the “Effective Date”), by and between APPHARVEST MOREHEAD FARM, LLC, a Delaware limited liability company (the “Lessor”), and CEFF II APPHARVEST HOLDINGS, LLC, a Delaware limited liability company ( |
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| September 20, 2023 |
FIRST AMENDMENT TO LEASE AGREEMENT Exhibit 10.5 FIRST AMENDMENT TO LEASE AGREEMENT THIS FIRST AMENDMENT TO LEASE AGREEMENT (the “Amendment”) is made and entered into as of September 15, 2023, by and between APPHARVEST MOREHEAD FARM, LLC, a Delaware limited liability company (the “Lessor”), and CEFF II APPHARVEST HOLDINGS, LLC, a Delaware limited liability company (the “Lessee”). WITNESSETH: WHEREAS, Lessor and Lessee entered into t |
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| September 20, 2023 |
Exhibit 10.1 Execution Version Privileged & Confidential Subject to FRE 408 and State Law Analogues LEASE AGREEMENT THIS LEASE AGREEMENT (the “Lease”) is made and entered into as of September 14, 2023 (the “Effective Date”), by and between APPHARVEST RICHMOND FARM, LLC, a Delaware limited liability company (the “Lessor”), and CEFF II APPHARVEST HOLDINGS, LLC, a Delaware limited liability company ( |
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| September 20, 2023 |
Exhibit 10.3 LEASE AGREEMENT THIS LEASE AGREEMENT (the “Lease”) is made and entered into as of September 14, 2023 (the “Effective Date”), by and between APPHARVEST OPERATIONS, INC., a Delaware corporation (the “Lessor”), and CEFF II APPHARVEST HOLDINGS, LLC, a Delaware limited liability company (the “Lessee”). W I T N E S S E T H: WHEREAS, Lessor is the owner of that certain real property commonly |
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| September 20, 2023 |
FIRST AMENDMENT TO LEASE AGREEMENT Exhibit 10.4 FIRST AMENDMENT TO LEASE AGREEMENT THIS FIRST AMENDMENT TO AGREEMENT (the “Amendment”) is made and entered into as of September 15, 2023, by and between APPHARVEST RICHMOND FARM, LLC, a Delaware limited liability company (the “Lessor”), and CEFF II APPHARVEST HOLDINGS, LLC, a Delaware limited liability company (the “Lessee”). WITNESSETH: WHEREAS, Lessor and Lessee entered into that ce |
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| September 20, 2023 |
United States Bankruptcy Court Southern District of Texas September 14, 2023 Nathan Ochsner, Clerk Exhibit 10.7 United States Bankruptcy Court Southern District of Texas ENTERED September 14, 2023 Nathan Ochsner, Clerk IN THE UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION Chapter 11 Case No. 23-90745 (DRJ) (Jointly Administered) ORDER APPROVING THE DEBTORS’ DISCLOSURE STATEMENT AND CONFIRMING THE AMENDED JOINT PLAN OF LIQUIDATION OF APPHARVEST PRODUCTS, LLC A |
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| September 13, 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 6, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| September 13, 2023 |
Execution Version ASSET PURCHASE AGREEMENT by and between BOSCH BERRIES KENTUCKY OPERATIONS CORP. |
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| August 4, 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 1, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 4, 2023 |
Exhibit 10.1 Execution Version ASSET PURCHASE AGREEMENT by and among CEFF II APPHARVEST HOLDINGS, LLC APPHARVEST RICHMOND FARM, LLC and APPHARVEST MOREHEAD FARM, LLC Dated as of August 1, 2023 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE OF THE BUSINESS 2 1.1.Purchase and Sale of Assets. 2 1.2.Excluded Assets. 3 1.3.Assumption of Liabilities 5 1.4.Excluded Liabilities. 5 1.5.Assumption and A |
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| July 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): July 24, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Num |
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| July 28, 2023 |
Exhibit 10.2 Execution Version SENIOR SECURED SUPER-PRIORITY DEBTOR-IN-POSSESSION CREDIT AGREEMENT Dated as of July 25, 2023 between CEFF II APPHARVEST HOLDINGS, LLC, as Lender, APPHARVEST, INC, as Borrower and CERTAIN SUBSIDIARIES OF BORROWER PARTY HERETO AS GUARANTORS 4859-3562-4049v.20 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 1.1 Definitions 1 1.2 Rules of Interpretation 15 1.3 Orders 17 |
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| July 28, 2023 |
FIRST AMENDMENT TO CREDIT AGREEMENT Exhibit 10.3 Execution Version FIRST AMENDMENT TO CREDIT AGREEMENT This FIRST AMENDMENT TO CREDIT AGREEMENT (this "Amendment"), dated as of July 26, 2023 ("Effective Date "), is entered into by and between AppHarvest, Inc., a Delaware corporation (“AppHarvest” or the “Borrower”), certain subsidiaries of the Borrower party hereto as Guarantors and CEFF II AppHarvest Holdings, LLC, a Delaware limited |
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| July 28, 2023 |
Patrick Venter E-mail address: [email protected] Exhibit 10.1 Execution Version THIS RESTRUCTURING SUPPORT AGREEMENT IS NOT AN OFFER OR ACCEPTANCE WITH RESPECT TO ANY SECURITIES OR A SOLICITATION OF ACCEPTANCES OF A CHAPTER 11 PLAN WITHIN THE MEANING OF SECTION 1125 OF THE BANKRUPTCY CODE. ANY SUCH OFFER OR SOLICITATION WILL COMPLY WITH ALL APPLICABLE SECURITIES LAWS AND/OR PROVISIONS OF THE BANKRUPTCY CODE. NOTHING CONTAINED IN THIS RESTRUCTURI |
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| July 24, 2023 |
Exhibit 99.1 Debtor Entities AppHarvest, Inc. AppHarvest Operations, Inc. AppHarvest Farms, LLC AppHarvest Morehead Farm, LLC AppHarvest Richmond Farm, LLC AppHarvest Berea Farm, LLC AppHarvest Pulaski Farm, LLC AppHarvest Development, LLC AppHarvest Technology, Inc. AppHarvest Products, LLC AppHarvest Foundation, LLC Rowan County Development, LLC |
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| July 24, 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 19, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Num |
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| July 24, 2023 |
“Loan” shall have the meaning given such term in Section 1. Exhibit 10.1 Execution Version SECURED PROMISSORY NOTE AND LOAN AGREEMENT $2,690,000 New York, New York July 19, 2023 APPHARVEST, INC., a Delaware corporation (the “Borrower”), has requested that CEFF II APPHARVEST HOLDINGS, LLC, a Delaware Limited Liability Company (together with its successors and assigns to this Secured Promissory Note and Loan Agreement (as amended, restated, amended and resta |
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| July 24, 2023 |
Exhibit 99.2 Media Contact: Travis Parman, [email protected] AppHarvest announces Chapter 11 filing to support a financial and operational transition Company secures $29.5 million debtor-in-possession financing commitment from Equilibrium to support ongoing operations at AppHarvest Morehead, AppHarvest Richmond and AppHarvest Somerset during proceedings Operations continue at farms, inc |
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| July 17, 2023 |
Exhibit 99.1 Media Contact: Darla Turner, [email protected] AppHarvest names CEA industry vet Tony Martin CEO to help accelerate production and revenue ramp up of high-tech indoor farm network Martin will continue rapid execution of Project New Leaf focused on operational efficiency for higher yields, improved quality and cost savings Kevin Willis named AppHarvest board chair AppHarvest |
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| July 17, 2023 |
AppHarvest, Inc. Key Executive Compensation Plan Exhibit 10.1 AppHarvest, Inc. Key Executive Compensation Plan 1.Effective Date, Term, and Purpose. This Key Executive Compensation Plan (the “Plan”) of AppHarvest, Inc. (the “Company”) is effective as of the date (the “Effective Date”) of the Plan’s approval by the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) of the Company. The Plan provides each Participant (a |
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| July 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): July 11, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Num |
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| July 17, 2023 |
Exhibit 10.3 AppHarvest, Inc. Non-Employee Director Compensation Policy Amended and Restated Effective: July 11, 2023 Each member of the Board of Directors (the “Board”) of AppHarvest, Inc. (the “Company”) who is not an employee of the Company (each, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compensation Policy (this “Director Compensation Pol |
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| July 17, 2023 |
AppHarvest, Inc. Non-Executive Compensation Plan Exhibit 10.2 AppHarvest, Inc. Non-Executive Compensation Plan 1.Effective Date, Term, and Purpose. This Non-Executive Compensation Plan (the “Plan”) of AppHarvest, Inc. (the “Company”) is effective as of the date (the “Effective Date”) of the Plan’s approval by the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) of the Company. Under the Plan, each Participant (as |
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| July 11, 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 5, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Numb |
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| June 13, 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): June 9, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Numb |
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| June 5, 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): May 30, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Numb |
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| June 1, 2023 |
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 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)) ☐ Definitive Proxy State |
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| May 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period 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 001-39288 App |
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| May 10, 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): May 10, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 10, 2023 |
Exhibit 99.1 Media Contact: Darla Turner, [email protected] Investor Contact: [email protected] AppHarvest beats consensus with Q1 2023 net sales of $13.0 million and makes significant progress on five-year Project New Leaf strategy AppHarvest achieves quarterly net sales nearly 90 percent of sales for full year 2022 including sales of almost $11 million in tomatoes and more th |
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| April 28, 2023 |
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 |
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| April 28, 2023 |
TABLE OF CONTENTS 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 |
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| April 21, 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): April 18, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Nu |
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| April 18, 2023 |
TABLE OF CONTENTS 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 |
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| April 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 31, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Nu |
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| April 6, 2023 |
CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY [***]) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. |
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| March 15, 2023 |
EXHIBIT 21.1 APPHARVEST, INC. List of Subsidiaries Subsidiary Jurisdiction AppHarvest Operations, Inc. Delaware AppHarvest Morehead Farm, LLC Delaware AppHarvest Richmond Farm, LLC Delaware AppHarvest Berea Farm, LLC Delaware AppHarvest Pulaski Farm, LLC Delaware AppHarvest Technology, Inc. Delaware |
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| March 15, 2023 |
Amended Employment Agreement, dated February 20, 2023, by and between AppHarvest and Loren Eggleton. exhibit1040appharvest-am AMENDMENT TO EMPLOYMENT AGREEMENT This AMENDMENT TO EMPLOYMENT AGREEMENT Amendment this 20th day of February 2023 ( Effective Date LOREN EGGLETON (the Employee APPHARVEST, INC. |
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| March 15, 2023 |
EXHIBIT 4.4 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description summarizes selected information regarding our capital stock, as well as relevant provisions of: (i) our amended and restated certificate of incorporation; (ii) our amended and restated bylaws; and (iii) the General Corporation Law of the State of |
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| March 15, 2023 |
exhibit1039mastronardibe "Option to Renew": (Article 1) "Base Rent": (Article 2) "Lease Rate": (Article 2) "Net Lease": "Prepaid Rent": (Article 2) "Permitted Use": (Article 3) "Address of Tenant": (Article . |
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| March 15, 2023 |
Retention Bonus Agreement, dated February 20, 2023, by and between AppHarvest and Loren Eggleton RETENTION BONUS AGREEMENT This Retention Bonus Agreement (the “Agreement”), dated as of February 20, 2023, is made and entered into by and between AppHarvest, Inc. |
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| March 15, 2023 |
ex1042appharvest-amendme AMENDMENT TO RETENTION BONUS AGREEMENT This AMENDMENT TO RETENTION BONUS AGREEMENT (the “Amendment”) is entered into this 14th day of March 2023 (the “Effective Date”), by and between LOREN EGGLETON (the “Employee”) and APPHARVEST, INC. |
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| March 15, 2023 |
0kal 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 December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto0 Commission file number 001-39288 AppHarvest |
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| March 15, 2023 |
Execution Version WAIVER AND THIRD AMENDMENT TO CREDIT AGREEMENT This WAIVER AND THIRD AMENDMENT TO CREDIT AGREEMENT (this “Agreement”), dated as of December 21, 2022, is entered into by and between AppHarvest Richmond Farm, LLC, a Delaware limited liability company (“Borrower”) and CEFF II AppHarvest Holdings, LLC, a Delaware limited liability company (“Lender”). |
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| March 15, 2023 |
EXECUTION VERSION NOTE AND LOAN AGREEMENT Up to $30,000,000.00 THIS NOTE AND LOAN AGREEMENT (this “Note”) dated as of October 24, 2022, is made by APPHARVEST BEREA FARM, LLC, a Delaware limited liability company (“Maker”), as follows: FOR VALUE RECEIVED, Maker, promises to pay to the order of MASTRONARDI PRODUCE-USA, INC., a Michigan corporation (together with its successors and assigns, “Payee”), |
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| March 15, 2023 |
Exhibit 10.34 SECOND ADDENDUM TO MASTER CREDIT AGREEMENT This Second Addendum to Master Credit Agreement (this "Second Addendum") is entered into and is dated as of February 2, 2023 and made effective as of December 27, 2022 between APPHARVEST MOREHEAD FARM, LLC, a Delaware limited liability company ("Party") and RABO AGRIFINANCE LLC, a Delaware limited liability company (the "Lender"). The Party |
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| March 15, 2023 |
exhibit1038mastronardibe Certain information has been excluded from this agreement (indicated by “[***]”) because such information (i) is not material and (ii) would be competitively harmful if publicly disclosed. |
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| March 9, 2023 |
Exhibit 99.1 Media Contact: Darla Turner, [email protected] Investor Contact: [email protected] AppHarvest announces 2022 Q4 and full-year results, achieving net sales guidance of $14.6 million Company successfully quadrupled to a four-farm network in 2022, setting the stage for expected year-over-year sales increases throughout 2023 Company increased net sales by 60% year-over |
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| March 9, 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 9, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 24, 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): February 20, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| February 10, 2023 |
Underwriting Agreement, dated February 9, 2023 EX-1.1 2 exhibit11-growxpricing8xk.htm EX-1.1 Exhibit 1.1 40,000,000 Shares APPHARVEST, INC. Common Stock UNDERWRITING AGREEMENT February 9, 2023 COWEN AND COMPANY, LLC As Representative of the several Underwriters 599 Lexington Avenue New York, New York 10022 Ladies and Gentlemen: 1. INTRODUCTORY AppHarvest, Inc., a Delaware public benefit corporation (the “Company”), proposes to sell, pursuant t |
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| February 10, 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): February 9, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| February 10, 2023 |
40,000,000 Shares Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-266502 PROSPECTUS SUPPLEMENT (To Prospectus Dated August 16, 2022) 40,000,000 Shares Common Stock We are offering 40,000,000 shares of our common stock. Our common stock is listed on the Nasdaq Global Select Market under the symbol “APPH.” On February 9, 2023, the closing price of our common stock on the Nasdaq Global Select Market was $1.32 pe |
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| February 8, 2023 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-266502 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to the securities offered hereby has been declared effective by the Securities and Exchange Commission under the Securities Act of 1933, as amended. This preliminary prospectus supplement and the accompanying pr |
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| February 8, 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): February 8, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| February 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): February 2, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| February 3, 2023 |
EX-10.2 3 a102raf-appharvestxmasters.htm EX-10.2 CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY [***]) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. MASTER SECURITY AGREEMENT This security agreement (“Master Security Agreement”) is entered into and is dated as of February 2, |
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| February 3, 2023 |
CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY [***]) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. |
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| January 18, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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 11, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| January 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): January 3, 2023 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File N |
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| January 6, 2023 |
EXHIBIT 10.1 APPHARVEST CANADA, INC. CONSULTING AGREEMENT Effective Date: January 3, 2023 This Consulting Agreement (the ?Agreement?) is made as of the Effective Date set forth above by and between AppHarvest Canada, Inc., a British Columbia corporation (?Client?), and the consultant named on the signature page hereto (?Consultant?). 1.Engagement of Services. During the term of this Agreement, and |
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| January 3, 2023 |
Entry into a Material Definitive Agreement 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 29, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| December 27, 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): December 23, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| December 27, 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): December 21, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| November 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): November 9, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| November 7, 2022 |
Exhibit 10.2 CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY ***) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. LOAN AGREEMENT This LOAN AGREEMENT (this ?Agreement?), is executed to be effective as of July 29, 2022, is made by and among APPHARVEST PULASKI FARM, LLC, a Delaware |
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| November 7, 2022 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: [email protected] AppHarvest announces Q3 2022 results and makes significant progress in bringing four-farm network consisting of 165 acres online by end of year AppHarvest Berea and AppHarvest Somerset are the second and third farms to open as company expects to quadruple farms by year-end and dive |
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| November 7, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 001-39288 |
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| November 7, 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): November 7, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| November 7, 2022 |
EX-10.1 2 apph-ex101eqxappharvestloa.htm EX-10.1 Exhibit 10.1 SECOND AMENDMENT TO CREDIT AGREEMENT This SECOND AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of July 29, 2022 (“Effective Date”), is entered into by and between AppHarvest Richmond Farm, LLC, a Delaware limited liability company (“Borrower”) and CEFF II AppHarvest Holdings, LLC, a Delaware limited liability company (“Lend |
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| November 3, 2022 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: [email protected] AppHarvest opens 30-acre high-tech indoor farm to grow strawberries and cucumbers in Somerset, Ky. AppHarvest has started shipments of “WOW® Berries” from nearly 1 million strawberry plants Somerset is third in AppHarvest’s expected four-farm network scheduled to open this year, wh |
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| November 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): October 28, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| November 2, 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): October 27, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| November 2, 2022 |
AppHarvest appoints Appalachian Regional Healthcare CEO Hollie Phillips to board of directors EX-99 2 appharvestboardannouncemen.htm EX-99 Media Contact: Darla Turner, [email protected] Investor Contact: [email protected] AppHarvest appoints Appalachian Regional Healthcare CEO Hollie Phillips to board of directors MOREHEAD, Ky., Nov. 2, 2022 – AppHarvest, Inc. (NASDAQ: APPH, APPHW), a sustainable food company, public benefit corporation and Certified B Corp building som |
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| October 26, 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): October 24, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| October 26, 2022 |
Media Contact: Travis Parman, [email protected] Investor Contact: [email protected] AppHarvest opens 15-acre high-tech indoor salad greens farm featuring touchless growing system with autonomous harvesting to supply new “Queen of Greens®” washed-and-ready-to-eat packaged salad brand Announces $30 million financing deal with marketing partner Mastronardi Produce secured by AppH |
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| October 21, 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): October 17, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| October 21, 2022 |
AppHarvest appoints CEA industry veteran Tony Martin to board of directors Media Contact: Travis Parman, [email protected] Investor Contact: [email protected] AppHarvest appoints CEA industry veteran Tony Martin to board of directors MOREHEAD, Ky., Oct. 21, 2022 ? AppHarvest, Inc. (NASDAQ: APPH, APPHW), a leading AgTech company, public benefit corporation and Certified B Corp building some of the world?s largest high-tech indoor farms to grow afforda |
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| September 2, 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 1, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| August 16, 2022 |
Table of Contents PROSPECTUS Filed Pursuant to Rule 424(b)(5) Registration No. 333-266502 $100,000,000 Common Stock We have entered into a sales agreement, or the sales agreement, with Cowen and Company, LLC, or Cowen, relating to shares of our common stock, par value $0.0001 per share, offered by this prospectus. In accordance with the terms of the sales agreement, we may offer and sell shares of |
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| August 11, 2022 |
AppHarvest, Inc. 500 Appalachian Way Morehead, KY 40351 AppHarvest, Inc. 500 Appalachian Way Morehead, KY 40351 August 11, 2022 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ms. Doris Stacey Gama Re: AppHarvest, Inc. Registration Statement on Form S-3 (File No. 333-266502) Request for Acceleration of Effective Date Requested Date: August 15, 2022 Requested Time: 4:00 P. |
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| August 10, 2022 |
APPH / Appharvest Inc / INCLUSIVE CAPITAL PARTNERS, L.P. - APPHARVEST, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* AppHarvest, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 03783T103 (CUSIP Number) Philippe B. Pradel Inclusive Capital Partners, L.P. 1170 Gorgas Avenue San Francisco, CA 94129 Eleazer Klein, Esq. Adriana Schwartz, E |
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| August 3, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) AppHarvest, Inc. |
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| August 3, 2022 |
Sales Agreement by and between AppHarvest, Inc. and Cowen and Company, LLC, dated August 3, 2022 EX-1.2 3 appharvest-atmsalesagreeme.htm EX-1.2 Exhibit 1.2 APPHARVEST, INC. $100,000,000 COMMON STOCK SALES AGREEMENT August 3, 2022 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 Ladies and Gentlemen: AppHarvest, Inc., a Delaware public benefit corporation (the “Company”), confirms its agreement (this “Agreement”) with Cowen and Company, LLC (“Cowen”), as follows: 1. Issuance and |
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| August 3, 2022 |
As filed with the Securities and Exchange Commission on August 3, 2022 Table of Contents Registration No. |
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| August 3, 2022 |
Form of Debt Securities Warrant Agreement and Warrant Certificate. EX-4.8 7 exhibit48-formofdebtwarrant.htm EX-4.8 Exhibit 4.8 AppHarvest, Inc. and , As Warrant Agent Form of Debt Securities Warrant Agreement Dated As Of EXHIBIT 4.8 AppHarvest, Inc. Form of Debt Securities Warrant Agreement This Debt Securities Warrant Agreement (this “Agreement”), dated as of [●], between AppHarvest, Inc., a Delaware public benefit corporation (the “Company”), and [●], a [corpor |
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| August 3, 2022 |
AppHarvest, Inc. Amended and Restated Employee Cash Incentive Plan Exhibit 10.1 AppHarvest, Inc. Employee Cash Incentive Plan Plan Purpose AppHarvest Operations (the ?Company?) Employee Cash Incentive Plan (the ?Plan?) has been established to help align participating AppHarvest employees? goals and efforts with the Company?s goals and direction. Through the Plan, a portion of an eligible employee?s total cash compensation opportunity will be directly linked to th |
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| August 3, 2022 |
Exhibit 10.2 FIRST AMENDMENT TO CREDIT AGREEMENT This FIRST AMENDMENT TO CREDIT AGREEMENT (this ?Amendment?), dated as of July 29, 2021 (?Effective Date?), is entered into by and between AppHarvest Richmond Farm, LLC, a Delaware limited liability company (?Borrower?) and CEFF II AppHarvest Holdings, LLC, a Delaware limited liability company (?Lender?). RECITALS WHEREAS, Borrower and Lender entered |
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| August 3, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? 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 001-39288 AppH |
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| August 3, 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 3, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 3, 2022 |
Form of Preferred Stock Warrant Agreement and Warrant Certificate. Exhibit 4.7 AppHarvest, Inc. and , As Warrant Agent Form of Preferred Stock Warrant Agreement Dated As Of EXHIBIT 4.7 AppHarvest, Inc. Form of Preferred Stock Warrant Agreement This Preferred Stock Warrant Agreement (this ?Agreement?), dated as of [?], between AppHarvest, Inc., a Delaware public benefit corporation (the ?Company?), and [?], a [corporation] [national banking association] organized |
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| August 3, 2022 |
Form of Common Stock Warrant Agreement and Warrant Certificate. Exhibit 4.6 AppHarvest, Inc. and , As Warrant Agent Form of Common Stock Warrant Agreement Dated As Of EXHIBIT 4.6 AppHarvest, Inc. Form of Common Stock Warrant Agreement This Common Stock Warrant Agreement (this ?Agreement?), dated as of [?], between AppHarvest, Inc., a Delaware public benefit corporation (the ?Company?), and [?], a [corporation] [national banking association] organized and exist |
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| August 3, 2022 |
APPHARVEST, INC. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [], 20 Debt Securities Table Of Contents Page ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee?s Certificate 8 Section 2.03 Denominatio |
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| August 3, 2022 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest announces Q2 2022 results showing continued improvements in core operations, progress to quadruple farm network and securing nondilutive expansion capital Company achieves net sales of $4.4 million on 6.0 million pounds of tomatoes sold in Q2 2022, a 39% |
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| May 17, 2022 |
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): May 13, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 10, 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): May 4, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| May 3, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period 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 number 001-39288 App |
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| May 3, 2022 |
Employment Agreement, dated February 27, by and between AppHarvest, Inc. and Julie Nelson Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the ?Agreement?) is entered into as of the 27th day of February, 2022, (the ?Effective Date?) by and between Julie Nelson (the ?Employee?) and AppHarvest, Inc. (the ?Company?). Employee is employed by the Company as its EVP, Operations pursuant to an employment offer with the Company dated August 16, 2021 (the ?Prior Agreement?); The Com |
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| May 3, 2022 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest announces Q1 2022 results with highest quarterly net sales to date, remains on track to open three new high-tech indoor farms by end of 2022 Company achieves net sales of $5.2 million, reiterates full year net sales outlook of $24.0 to $32.0 million Comp |
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| May 3, 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): May 3, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 84-5042965 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| April 1, 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-6(e)(2)) ? De |
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| April 1, 2022 |
TABLE OF CONTENTS 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 |
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| March 15, 2022 |
20,143,404 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-261679 PROSPECTUS 20,143,404 Shares of Common Stock This prospectus relates to the offer and resale of up to 20,143,404 shares (the ?Shares?) of our common stock, $0.0001 per share (the ?Common Stock?), by B. Riley Principal Capital, LLC (the ?Selling Stockholder?). The shares included in this prospectus consist of shares of Common Stock that w |
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| March 15, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus relates to the issuance by us of an aggregate of up to 13,250,000 shares of our common stock, $0.0001 par value per share (the ?Common Stock?), whi |
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| March 11, 2022 |
APPH / Appharvest Inc / INCLUSIVE CAPITAL PARTNERS, L.P. - APPHARVEST, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* AppHarvest, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 03783T103 (CUSIP Number) Philippe B. Pradel Inclusive Capital Partners, L.P. 1170 Gorgas Avenue San Francisco, CA 94129 Eleazer Klein, Esq. Adriana Schwartz, E |
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| March 8, 2022 |
APPH / Appharvest Inc / INCLUSIVE CAPITAL PARTNERS, L.P. - APPHARVEST, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* AppHarvest, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 03783T103 (CUSIP Number) Philippe B. Pradel Inclusive Capital Partners, L.P. 1170 Gorgas Avenue San Francisco, CA 94129 Eleazer Klein, Esq. Adriana Schwartz, E |
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| March 8, 2022 |
As filed with the U.S. Securities and Exchange Commission on March 8, 2022. As filed with the U.S. Securities and Exchange Commission on March 8, 2022. Registration No. 333-252964 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT No. 3 TO FORM S-1 ON FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Delaware APPHARVEST, INC. 82-5042965 (State or other jurisdiction of incorporation or organization) (Exact name o |
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| March 8, 2022 |
As filed with the U.S. Securities and Exchange Commission on March 8, 2022. As filed with the U.S. Securities and Exchange Commission on March 8, 2022. Registration No. 333-261679 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT No. 1 TO FORM S-1 ON FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Delaware APPHARVEST, INC. 82-5042965 (State or other jurisdiction of incorporation or organization) (Exact name o |
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| March 7, 2022 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest unanimously appoints Inclusive Capital Partners? Patrick T. Halfmann to Board of Directors MOREHEAD, Ky., March 7, 2022 - AppHarvest, Inc. (NASDAQ: APPH, APPHW), a leading AgTech company, public benefit corporation and Certified B Corp building some of t |
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| March 7, 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 3, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File Num |
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| March 1, 2022 |
EXHIBIT 21.1 APPHARVEST, INC. List of Subsidiaries Subsidiary Jurisdiction AppHarvest Operations, Inc. Delaware AppHarvest Morehead Farm, LLC Delaware AppHarvest Richmond Farm, LLC Delaware AppHarvest Berea Farm, LLC Delaware AppHarvest Pulaski Farm, LLC Delaware AppHarvest Technology, Inc. Delaware |
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| March 1, 2022 |
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 December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission file number 001-39288 AppHarvest, Inc. |
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| March 1, 2022 |
EXHIBIT 4.4 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description summarizes selected information regarding our capital stock, as well as relevant provisions of: (i) our amended and restated certificate of incorporation; (ii) our amended and restated bylaws; and (iii) the General Corporation Law of the State of |
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| March 1, 2022 |
Offer Letter, dated February 25, 2022, by and between AppHarvest Operations, Inc. and Julie Nelson EXHIBIT 10.35 February 24, 2022 Re: Internal Offer Letter Dear Julie: AppHarvest Operations, Inc. (the ?Company?) is pleased to offer you the position of Chief Operating Officer on the following terms. You will report to David Lee, President. You will be based in Lexington, Kentucky. Of course, the Company may change your position, duties, and work location from time to time in its discretion. You |
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| March 1, 2022 |
Exhibit 10.31 AMENDED AND RESTATED PROMISSORY NOTE $50,000,000 Chicago, Illinois January 10, 2022 FOR VALUE RECEIVED, APPHARVEST PULASKI FARM, LLC (the ?Borrower?)HEREBY PROMISES TO PAY to JPMORGAN CHASE BANK, N.A. (the ?Bank?), at its offices located at 270 Park Avenue, New York, New York 10017, or at such other place as the Bank or any holder hereof may from time to time designate, the lesser of |
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| February 24, 2022 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest announces Q4 and FY2021 results exceed updated guidance as company expects to quadruple its farms and more than double net sales by end of 2022 Company achieves high end of net sales guidance range and low-end of Net Loss and Adjusted EBITDA loss range f |
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| February 24, 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 24, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| February 14, 2022 |
APPH / Appharvest Inc / Alyeska Investment Group, L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 9, 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 7, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| February 9, 2022 |
AppHarvest unanimously appoints Kevin Willis to Board of Directors Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest unanimously appoints Kevin Willis to Board of Directors MOREHEAD, Ky. Feb. 9, 2022 ? AppHarvest, Inc. (NASDAQ: APPH, APPHW), a leading AgTech company, public benefit corporation and Certified B Corp building some of the world?s largest high-tech indoor f |
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| February 9, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 12 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?) |
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| February 9, 2022 |
20,143,404 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-261679 PROSPECTUS SUPPLEMENT NO. 3 (To the Prospectus dated December 23, 2021) 20,143,404 Shares of Common Stock This prospectus supplement supplements the prospectus, dated December 23, 2021 (as amended, the ?Prospectus?), which forms a part of our registration statement on Form S-1 (No. 333-261679). This prospectus supplement is being filed t |
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| January 31, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 11 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?) |
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| January 31, 2022 |
20,143,404 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-261679 PROSPECTUS SUPPLEMENT NO. 2 (To the Prospectus dated December 23, 2021) 20,143,404 Shares of Common Stock This prospectus supplement supplements the prospectus, dated December 23, 2021 (as amended, the ?Prospectus?), which forms a part of our registration statement on Form S-1 (No. 333-261679). This prospectus supplement is being filed t |
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| January 31, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, 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): January 31, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| January 31, 2022 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest announces preliminary FY 2021 net sales and Adjusted EBITDA at higher end of guidance as it marks first anniversary operating as public company Three more high-tech indoor farms currently under construction expected to be operational by end of 2022, dive |
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| January 31, 2022 |
Press Release, dated January 31, 2022. EX-99.1 2 exhibit99preliminaryresult.htm EX-99.1 Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest announces preliminary FY 2021 net sales and Adjusted EBITDA at higher end of guidance as it marks first anniversary operating as public company Three more high-tech indoor farms currently under constructio |
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| January 31, 2022 |
Press Release, dated January 31, 2022. Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest announces preliminary FY 2021 net sales and Adjusted EBITDA at higher end of guidance as it marks first anniversary operating as public company Three more high-tech indoor farms currently under construction expected to be operational by end of 2022, dive |
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| January 21, 2022 |
20,143,404 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-261679 PROSPECTUS SUPPLEMENT NO. 1 (To the Prospectus dated December 23, 2021) 20,143,404 Shares of Common Stock This prospectus supplement supplements the prospectus, dated December 23, 2021 (as amended, the ?Prospectus?), which forms a part of our registration statement on Form S-1 (No. 333-261679). This prospectus supplement is being filed t |
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| January 13, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 10 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?) |
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| January 13, 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): January 10, 2022 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| December 27, 2021 |
424B3 1 tm2135771-4424b3.htm 424B3 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus relates to the issuance by us of an aggregate of up to 13,250,000 shares of our common stock |
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| December 23, 2021 |
20,143,404 Shares of Common Stock TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(3) ?Registration No. 333-261679? PROSPECTUS 20,143,404 Shares of Common Stock ? This prospectus relates to the offer and resale of up to 20,143,404 shares (the ?Shares?) of our common stock, $0.0001 per share (the ?Common Stock?), by B. Riley Principal Capital, LLC (the ?Selling Stockholder?). The shares included in this prospectus consist of shares |
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| December 22, 2021 |
APPHARVEST, INC. 500 Appalachian Way Morehead, Kentucky 40351 APPHARVEST, INC. 500 Appalachian Way Morehead, Kentucky 40351 December 22, 2021 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 RE: AppHarvest, Inc. Registration Statement on Form S-1 File No. 333-261679 Request for Acceleration of Effective Date Requested Date: December 23, 2021 Requested Time: 4:00 P.M. Eas |
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| December 20, 2021 |
As filed with the U.S. Securities and Exchange Commission on December 20, 2021. TABLE OF CONTENTS As filed with the U.S. Securities and Exchange Commission on December 20, 2021. Registration No. 333-252964? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933? ? APPHARVEST, INC. (Exact name of registrant as specified in its charter) ? Delaware (State or |
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| December 16, 2021 |
As filed with the U.S. Securities and Exchange Commission on December 16, 2021. Table of Contents As filed with the U.S. Securities and Exchange Commission on December 16, 2021. ? Registration No. 333- ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APPHARVEST, INC. (Exact name of registrant as specified in its charter) ? ? ? ? Delaware 0100 82-5042965 ? ? ? (State or other jurisdicti |
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| December 15, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 8 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?), |
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| December 15, 2021 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, 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): December 15, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| December 15, 2021 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), dated as of December 15, 2021, is by and between B. Riley Principal Capital, LLC, a Delaware limited liability company (the ?Investor?), and AppHarvest, Inc., a Delaware corporation (the ?Company?). RECITALS A. The Company and the Investor have entered into that certain Common Stock Purchase Agreement |
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| December 15, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 9 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?), |
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| December 15, 2021 |
Exhibit 10.1 COMMON STOCK PURCHASE AGREEMENT Dated as of December 15, 2021 by and between APPHARVEST, INC. and B. RILEY PRINCIPAL CAPITAL, LLC Table of Contents Page Article I DEFINITIONS 1 Article II PURCHASE AND SALE OF COMMON STOCK 2 Section 2.1. Purchase and Sale of Stock 2 Section 2.2. Closing Date; Settlement Dates 2 Section 2.3. Initial Public Announcements and Required Filings 2 Article II |
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| December 15, 2021 |
EX-99.1 4 tm2135142d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 MEDIA CONTACT: Travis Parman, [email protected] INVESTOR CONTACT: Kaveh Bakhtiari, [email protected] AppHarvest enhances liquidity through $100 million committed equity facility with B. Riley Principal Capital and re-affirms 2021 outlook and construction timeline Committed equity facility provides AppHarvest with the ri |
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| December 15, 2021 |
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS Exhibit 99.2 MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS You should read the following discussion and analysis of our financial condition and results of operations together with our financial statements and related notes included elsewhere in this Current Report on Form 8-K. Some of the information contained in this discussion and analysis or set forth els |
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| December 15, 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): December 15, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| December 15, 2021 |
Report of Independent Registered Public Accounting Firm Exhibit 99.1 Report of Independent Registered Public Accounting Firm To the Stockholders and the Board of Directors of AppHarvest, Inc. and Subsidiaries Opinion on the Financial Statements We have audited the accompanying consolidated balance sheets of AppHarvest, Inc. and Subsidiaries (the Company) as of December 31, 2020 and 2019, the related consolidated statements of operations and comprehensi |
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| November 10, 2021 |
Exhibit 10.6 PROMISSORY NOTE $25,000,000 Chicago, Illinois September 24, 2021 FOR VALUE RECEIVED, APPHARVEST PULASKI FARM, LLC (the ?Borrower?) HEREBY PROMISES TO PAY to JPMORGAN CHASE BANK, N.A. (the ?Bank?), at its offices located at 270 Park Avenue, New York, New York 10017, or at such other place as the Bank or any holder hereof may from time to time designate, the lesser of (i) the principal |
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| November 10, 2021 |
Exhibit 10.7 GUARANTY?MULTIPLE SUBSIDIARIES GUARANTY dated as of September 24, 2021 made by the undersigned (the "Guarantor") in favor of JPMorgan Chase Bank, N.A. and/or any of its branches, subsidiaries or affiliates (individually or collectively, as the context may require, the "Bank"). PRELIMINARY STATEMENTS: The Bank has entered, or may from time to time enter, into agreements or arrangements |
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| November 10, 2021 |
Amendment No. 1 2021 Equity Incentive Plan EX-10.2 2 exhibit102-appharvestxamen.htm EX-10.2 Exhibit 10.2 AppHarvest, Inc. Amendment No. 1 2021 Equity Incentive Plan Adopted by the Board of Directors: August 10, 2021 A. AppHarvest, Inc., a Delaware public benefit corporation (the “Company”) previously established the Company’s 2021 Equity Incentive Plan (the “Plan”); B. The Plan currently provides for certain automatic increases in the numb |
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| November 10, 2021 |
Amendment No. 1 2021 Equity Incentive Plan Exhibit 10.2 AppHarvest, Inc. Amendment No. 1 2021 Equity Incentive Plan Adopted by the Board of Directors: August 10, 2021 A. AppHarvest, Inc., a Delaware public benefit corporation (the ?Company?) previously established the Company?s 2021 Equity Incentive Plan (the ?Plan?); B. The Plan currently provides for certain automatic increases in the number of shares reserved for future issuance pursuan |
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| November 10, 2021 |
Exhibit 10.8 CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY ***) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. Dated as of September 24, 2021 Assignment of Deposit Account AppHarvest Operations, Inc., whose address is 500 Appalachian Way, Morehead, KY 40531 (the "Assignor"), |
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| November 10, 2021 |
Exhibit 10.7 GUARANTY?MULTIPLE SUBSIDIARIES GUARANTY dated as of September 24, 2021 made by the undersigned (the "Guarantor") in favor of JPMorgan Chase Bank, N.A. and/or any of its branches, subsidiaries or affiliates (individually or collectively, as the context may require, the "Bank"). PRELIMINARY STATEMENTS: The Bank has entered, or may from time to time enter, into agreements or arrangements |
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| November 10, 2021 |
EX-10.4 4 exhibit104eq-appharvestloa.htm EX-10.4 Exhibit 10.4 CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY ***) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. CREDIT AGREEMENT (Richmond Facility) Dated as of July 23, 2021 between CEFF II AppHarvest Holdings, LLC, as Lender, |
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| November 10, 2021 |
Exhibit 10.5 CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY ***) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. SECOND AMENDMENT TO RIGHT OF FIRST REFUSAL AGREEMENT This SECOND AMENDMENT TO RIGHT OF FIRST REFUSAL AGREEMENT (this ?Amendment?) is made as of July 23, 2021 (the ?A |
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| 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 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| November 10, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 7 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, |
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| November 10, 2021 |
Amendment No. 1 2021 Employee Stock Purchase Plan Exhibit 10.3 AppHarvest, Inc. Amendment No. 1 2021 Employee Stock Purchase Plan Adopted by the Board of Directors: August 10, 2021 A. AppHarvest, Inc., a Delaware public benefit corporation (the ?Company?) previously established the Company?s 2021 Employee Stock Purchase Plan (the ?ESPP?); B. The ESPP currently provides for certain automatic increases in the number of shares reserved for future is |
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| November 10, 2021 |
Exhibit 10.8 CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY ***) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. Dated as of September 24, 2021 Assignment of Deposit Account AppHarvest Operations, Inc., whose address is 500 Appalachian Way, Morehead, KY 40531 (the "Assignor"), |
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| November 10, 2021 |
Exhibit 10.5 CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY ***) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. SECOND AMENDMENT TO RIGHT OF FIRST REFUSAL AGREEMENT This SECOND AMENDMENT TO RIGHT OF FIRST REFUSAL AGREEMENT (this ?Amendment?) is made as of July 23, 2021 (the ?A |
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| November 10, 2021 |
Exhibit 10.6 PROMISSORY NOTE $25,000,000 Chicago, Illinois September 24, 2021 FOR VALUE RECEIVED, APPHARVEST PULASKI FARM, LLC (the ?Borrower?) HEREBY PROMISES TO PAY to JPMORGAN CHASE BANK, N.A. (the ?Bank?), at its offices located at 270 Park Avenue, New York, New York 10017, or at such other place as the Bank or any holder hereof may from time to time designate, the lesser of (i) the principal |
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| November 10, 2021 |
Amendment No. 1 2021 Employee Stock Purchase Plan Exhibit 10.3 AppHarvest, Inc. Amendment No. 1 2021 Employee Stock Purchase Plan Adopted by the Board of Directors: August 10, 2021 A. AppHarvest, Inc., a Delaware public benefit corporation (the ?Company?) previously established the Company?s 2021 Employee Stock Purchase Plan (the ?ESPP?); B. The ESPP currently provides for certain automatic increases in the number of shares reserved for future is |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? 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 001-39288 |
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| November 10, 2021 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] Image/Video Gallery: Available here AppHarvest Announces Q3 2021 Results and Second Growing Season Off to Solid Start Company delivered higher than expected net sales of approximately $543,000 on 1.5 million pounds of tomatoes sold in Q3 2021, as second growing sea |
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| November 10, 2021 |
Exhibit 10.4 CERTAIN PORTIONS OF THIS EXHIBIT (INDICATED BY ***) HAVE BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K BECAUSE THEY ARE BOTH NOT MATERIAL AND ARE THE TYPE THAT THE COMPANY TREATS AS PRIVATE AND CONFIDENTIAL. CREDIT AGREEMENT (Richmond Facility) Dated as of July 23, 2021 between CEFF II AppHarvest Holdings, LLC, as Lender, and AppHarvest Richmond Farm, LLC, as Borrower TA |
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| September 30, 2021 |
EX-99 2 exhibit99jpmloan.htm EX-99 Exhibit 99.1 MEDIA CONTACT: Travis Parman, [email protected] INVESTOR CONTACT: Kaveh Bakhtiari, [email protected] AppHarvest Completes “Summer Refresh” and Replanting at Flagship Morehead Farm While Securing Credit Facility with JP Morgan to Continue High-Tech Farm Network Development The 60-acre indoor farm’s upcoming harvest is expected to |
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| September 30, 2021 |
EX-99 2 exhibit99jpmloan.htm EX-99 Exhibit 99.1 MEDIA CONTACT: Travis Parman, [email protected] INVESTOR CONTACT: Kaveh Bakhtiari, [email protected] AppHarvest Completes “Summer Refresh” and Replanting at Flagship Morehead Farm While Securing Credit Facility with JP Morgan to Continue High-Tech Farm Network Development The 60-acre indoor farm’s upcoming harvest is expected to |
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| September 30, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 6 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?), |
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| September 30, 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): September 27, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 11, 2021 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] Image/Video Gallery: Available here AppHarvest Announces Q2 2021 Results, Plans for New Holding Company Structure to Capitalize on Growing Global Need for Controlled Environment Agriculture, announces non-binding LOI for JV with Mastronardi Produce to Expand Farm N |
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| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? 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 001-39288 AppH |
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| 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 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File N |
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| August 11, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 5 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, |
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| August 11, 2021 |
Marcella Butler Separation Agreement, dated July 9, 2021 July 7, 2021 Marcella Butler Re: Separation Agreement Dear Marcella: This letter sets forth the substance of the separation agreement (the ?Agreement?) which AppHarvest, Inc. |
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| August 11, 2021 |
Marcella Butler Separation Agreement, dated July 9, 2021 July 7, 2021 Marcella Butler Re: Separation Agreement Dear Marcella: This letter sets forth the substance of the separation agreement (the ?Agreement?) which AppHarvest, Inc. |
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| July 29, 2021 |
Press Release, dated July 27, 2021 EX-99.1 2 exhibit99eqconstructionloa.htm EX-99.1 Exhibit 99.1 Financing arrangement demonstrates ESG-focused, controlled environment agriculture expert Equilibrium Capital’s ongoing support for AppHarvest’s development plan for 12 high-tech indoor farms by end of 2025 MOREHEAD, Ky., July 27, 2021 (GLOBE NEWSWIRE) - AppHarvest, Inc. (NASDAQ: APPH, APPHW), a leading AgTech company, public benefit co |
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| July 29, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO. 4 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?), |
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| July 29, 2021 |
Exhibit 99.1 Financing arrangement demonstrates ESG-focused, controlled environment agriculture expert Equilibrium Capital?s ongoing support for AppHarvest?s development plan for 12 high-tech indoor farms by end of 2025 MOREHEAD, Ky., July 27, 2021 (GLOBE NEWSWIRE) - AppHarvest, Inc. (NASDAQ: APPH, APPHW), a leading AgTech company, public benefit corporation, and Certified B Corp focused on delive |
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| July 29, 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): July 23, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File Num |
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| June 16, 2021 |
Exhibit 10.1 MASTER CREDIT AGREEMENT This Master Credit Agreement (referred to herein as the ?Agreement? or the ?MCA?) is dated as of June 15, 2021 between APPHARVEST MOREHEAD FARM, LLC, a Delaware limited liability company ("Party") and RABO AGRIFINANCE LLC, a Delaware limited liability company (?Lender?). Article 1 - THE FACILITY SHEETS 1.01 Facility Sheets. Lender has agreed, subject to the ter |
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| June 16, 2021 |
AppHarvest completes deal with Rabo AgriFinance to fuel expansion of high-tech indoor farm network Exhibit 99.1 AppHarvest completes deal with Rabo AgriFinance to fuel expansion of high-tech indoor farm network June 16, 2021 Company secures $75 million credit facility via flagship Morehead farm mortgage following announcement it expects to have five farms operating by end of 2022 MOREHEAD, Ky. June 16, 2021 (GLOBE NEWSWIRE) ? AppHarvest, Inc. (NASDAQ: APPH, APPHW), a leading AgTech company, pub |
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| June 16, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO.3 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?), |
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| June 16, 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): June 15, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File Num |
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| June 14, 2021 |
SC 13D/A 1 p21-1574sc13da.htm APPHARVEST, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* AppHarvest, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 03783T103 (CUSIP Number) Philippe B. Pradel Inclusive Capital Partners, L.P. 1170 Gorgas Avenue San Francisco, C |
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| June 9, 2021 |
TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(3) ?Registration No. 333-252964? PROSPECTUS Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock ? This prospectus relates to the issuance by us of an aggregate of up to 13,250,000 shares of our common stock, $0.0001 par value per share (t |
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| June 7, 2021 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION (Restated) Exhibit 99.1 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION (Restated) Introduction On January 29, 2021, Legacy AppHarvest, Novus and Merger Sub, consummated the Business Combination. In connection with the closing of the Business Combination, Legacy AppHarvest changed its name to AppHarvest Operations, Inc. and the registrant changed its name from Novus Capital Corporation to AppHar |
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| June 7, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 2) 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 29, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporatio |
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| June 4, 2021 |
Power of Attorney (included on signature page of Post-Effective Amendment No. 1). TABLE OF CONTENTS As filed with the U.S. Securities and Exchange Commission on June 4, 2021. Registration No. 333-252964? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933? ? APPHARVEST, INC. (Exact name of registrant as specified in its charter) ? Delaware (State or other |
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| June 2, 2021 |
Specimen Warrant Certificate of Novus Exhibit 4.3 NUMBER - (SEE REVERSE SIDE FOR LEGEND) THIS WARRANT WILL BE VOID IF NOT EXERCISED PRIOR TO THE EXPIRATION DATE (DEFINED BELOW) WARRANTS NOVUS CAPITAL CORPORATION CUSIP 67012U1161 WARRANT THIS CERTIFIES THAT, for value received is the registered holder of a warrant or warrants (the ?Warrant(s)?) of Novus Capital Corporation, a Delaware corporation (the ?Company?), expiring at 5:00 p.m., |
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| June 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year 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 001-3 |
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| May 17, 2021 |
Exhibit 99.1 Media Contact: Travis Parman, [email protected] Investor Contact: Kaveh Bakhtiari, [email protected] AppHarvest Announces Solid Q1 2021 Results in First Quarter as Publicly Traded Company Company delivered net sales of $2.3 million in line with guidance; reiterates net sales outlook for the year of $20 to $25 million Company?s initial harvesting from flagship More |
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| May 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 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 001-39288 App |
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| May 17, 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): May 17, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 14, 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): May 14, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File Numb |
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| April 23, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO.2 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (as amended, the ?Prospectus?), |
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| April 14, 2021 |
8-K 1 tm2112959d18k.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): April 9, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of in |
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| April 14, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252964 PROSPECTUS SUPPLEMENT NO.1 (To the Prospectus dated March 4, 2021) Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock This prospectus supplement supplements the prospectus, dated March 4, 2021 (the “Prospectus”), which forms |
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| April 6, 2021 |
As filed with the U.S. Securities and Exchange Commission on April 6, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APPHARVEST, INC. (Exact name of registrant as specified in its charter) Delaware 82-5042965 (State or other jurisdiction of incorporation or organization) (I.R.S. Emp |
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| March 29, 2021 |
AppHarvest, Inc. Non-Employee Director Compensation Policy Exhibit 10.1 AppHarvest, Inc. Non-Employee Director Compensation Policy Adopted: March 23, 2021 Each member of the Board of Directors (the ?Board?) of AppHarvest, Inc. (the ?Company?) who is not an employee of the Company (each, a ?Non-Employee Director?) will receive the compensation described in this Non-Employee Director Compensation Policy (this ?Director Compensation Policy?) for his or her B |
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| March 29, 2021 |
AppHarvest, Inc. Employee Cash Incentive Plan Exhibit 10.2 AppHarvest, Inc. Employee Cash Incentive Plan Plan Purpose The AppHarvest, Inc. (the ?Company? or ?AppHarvest?) Employee Cash Incentive Plan (the ?Plan?) has been established to help align participating AppHarvest employees? goals and efforts with the Company?s goals and direction. Through the Plan, a portion of an eligible employee?s total cash compensation opportunity will be direct |
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| March 29, 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): March 23, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File Nu |
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| March 4, 2021 |
TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(3) ?Registration No. 333-252964? PROSPECTUS Up to 84,211,418 Shares of Common Stock Up to 13,250,000 Shares of Common Stock Issuable Upon Exercise of Warrants Up to 3,250,000 Warrants to Purchase Common Stock ? This prospectus relates to the issuance by us of an aggregate of up to 13,250,000 shares of our common stock, $0.0001 par value per share (t |
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| March 3, 2021 |
APPHARVEST, INC. 500 Appalachian Way Morehead, Kentucky 40351 APPHARVEST, INC. 500 Appalachian Way Morehead, Kentucky 40351 March 3, 2021 Division of Corporation Finance Office of Life Sciences United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: AppHarvest, Inc. Registration Statement on Form S-1 File No. 333-252964 Ladies and Gentlemen: AppHarvest, Inc. (the ?Registrant?) hereby requests that the U.S. Securities an |
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| March 2, 2021 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION EX-99.3 11 tm217617d1ex99-3.htm EXHIBIT 99.3 Exhibit 99.3 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Introduction On January 29, 2021, Legacy AppHarvest, Novus and Merger Sub, consummated the Business Combination. In connection with the closing of the Business Combination, Legacy AppHarvest changed its name to AppHarvest Operations, Inc. and the registrant changed its name from N |
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| March 2, 2021 |
Legacy AppHarvest 2018 Equity Incentive Plan, as amended. Exhibit 10.1 APPHARVEST OPERATIONS, INC. (f/k/a AppHarvest, Inc.) 2018 EQUITY INCENTIVE PLAN (as amended) ADOPTED BY THE BOARD OF DIRECTORS: January 18, 2018 APPROVED BY THE STOCKHOLDERS: January 18, 2018 TERMINATION DATE: January 18, 2028 1. General. (a) Eligible Stock Award Recipients. Employees, Directors and Consultants are eligible to receive Stock Awards. (b) Available Stock Awards. The Plan |
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| March 2, 2021 |
Exhibit 10.22 EXECUTION COPY SECOND amendment TO MEMBERSHIP INTEREST PURCHASE AND SALE AGREEMENT This SECOND AMENDMENT TO MEMBERSHIP INTEREST PURCHASE AND SALE AGREEMENT (this ?Amendment?) is made as of March 1, 2021 (the ?Amendment Effective Date?) by and between CEFF Morehead Property, LLC, a Delaware limited liability company (?Seller?), and AppHarvest Morehead Farm, LLC, a Delaware limited lia |
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| March 2, 2021 |
2021 Employee Stock Purchase Plan. Exhibit 10.7 Appharvest, Inc. 2021 Employee Stock Purchase Plan Adopted by the Board of Directors: January 10, 2021 Approved by the Stockholders: January 29, 2021 1. General; Purpose. (a) The Plan provides a means by which Eligible Employees of the Company and certain Designated Companies may be given an opportunity to purchase shares of Common Stock. The Plan permits the Company to grant a series |
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| March 2, 2021 |
EX-10.4 5 tm217617d1ex10-4.htm EXHIBIT 10.4 Exhibit 10.4 APPHARVEST, INC. 2021 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: January 10, 2021 APPROVED BY THE STOCKHOLDERS: January 29, 2021 1. GENERAL. (a) Plan Purpose. The Company, by means of the Plan, seeks to secure and retain the services of Employees, Directors and Consultants, to provide incentives for such persons to exert maximu |
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| March 2, 2021 |
Forms of Stock Option Grant Notice and Stock Option Agreement under the 2021 Equity Incentive Plan. Exhibit 10.5 AppHarvest, Inc. Stock Option Grant Notice (2021 Equity Incentive Plan) AppHarvest, Inc. (the ?Company?), pursuant to its 2021 Equity Incentive Plan (the ?Plan?), has granted to you (?Optionholder?) an option to purchase the number of shares of the Common Stock set forth below (the ?Option?). Your Option is subject to all of the terms and conditions as set forth herein and in the Plan |
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| March 2, 2021 |
TABLE OF CONTENTS As filed with the U.S. Securities and Exchange Commission on March 2, 2021. Registration No. 333-252964? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933? ? APPHARVEST, INC. (Exact name of registrant as specified in its charter) ? Delaware (State or other jurisdiction |
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| March 2, 2021 |
APPHARVEST, INC. 500 Appalachian Way Morehead, Kentucky 40351 CORRESP 1 filename1.htm APPHARVEST, INC. 500 Appalachian Way Morehead, Kentucky 40351 March 2, 2021 Division of Corporation Finance Office of Life Sciences United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: AppHarvest, Inc. Registration Statement on Form S-1 File No. 333-252964 Ladies and Gentlemen: AppHarvest, Inc. (the “Registrant”) hereby requests tha |
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| March 2, 2021 |
Exhibit 10.1 ASSIGNMENT OF AND FIRST amendment TO RIGHT OF FIRST REFUSAL AGREEMENT This ASSIGNMENT OF AND FIRST AMENDMENT TO RIGHT OF FIRST REFUSAL AGREEMENT (this ?Amendment?) is made as of March 1, 2021 (the ?Amendment Effective Date?) by and among CEFF US Holdings, LLC, a Delaware limited liability company (?CEFF?), Equilibrium Sustainable Foods, LLC, an Oregon limited liability company (?CEFF |
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| March 2, 2021 |
Exhibit 10.3 AppHarvest, Inc. Restricted Stock Unit Grant Notice 2018 Equity Incentive Plan) AppHarvest, Inc. (the ?Company?) hereby awards to Participant a Restricted Stock Unit Award for the number of shares of the Company?s Common Stock set forth below (the ?Award?). The Award is subject to all of the terms and conditions as set forth herein and in the Company?s 2018 Equity Incentive Plan (the |
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| March 2, 2021 |
Exhibit 10.6 AppHarvest, Inc. RSU Award Grant Notice (2021 Equity Incentive Plan) AppHarvest, Inc. (the ?Company?) has awarded to you (the ?Participant?) the number of restricted stock units specified and on the terms set forth below in consideration of your services (the ?RSU Award?). Your RSU Award is subject to all of the terms and conditions as set forth herein and in the Company?s 2021 Equity |
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| March 2, 2021 |
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS EX-99.2 10 tm217617d1ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS You should read the following discussion and analysis of our financial condition and results of operations together with our financial statements and related notes included elsewhere in this prospectus. Some of the information contained in this discussion |
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| March 2, 2021 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 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): January 29, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporatio |
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| March 2, 2021 |
EX-10.2 3 tm217617d1ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 APPHARVEST, INC. STOCK OPTION GRANT NOTICE (2018 EQUITY INCENTIVE PLAN) AppHarvest, Inc. (the “Company”), pursuant to its 2018 Equity Incentive Plan (the “Plan”), hereby grants to Optionholder an option to purchase the number of shares of the Company’s Common Stock set forth below. This option is subject to all of the terms and conditions as |
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| March 2, 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): March 1, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File Num |
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| March 2, 2021 |
Report of Independent Registered Public Accounting Firm Exhibit 99.1 Report of Independent Registered Public Accounting Firm To the Stockholders and the Board of Directors of AppHarvest, Inc. and Subsidiaries Opinion on the Financial Statements We have audited the accompanying consolidated balance sheets of AppHarvest, Inc. and Subsidiaries (the Company) as of December 31, 2020 and 2019, the related consolidated statements of operations and comprehensi |
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| February 25, 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 25, 2021 AppHarvest, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39288 82-5042965 (State or other jurisdiction of incorporation) (Commission File |
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| February 25, 2021 |
Exhibit 99.1 AppHarvest, Inc. Announces Full-Year 2020 Financial Results Company Introduces First Quarter 2021 Outlook and Updates Full-Year 2021 Forecast February 25, 2021 – MOREHEAD, Kentucky – AppHarvest, Inc. (NASDAQ: APPH, APPHW) (“AppHarvest” or “the Company”), a leading AgTech company and Certified B Corp building and operating some of the country’s largest high-tech indoor farms to sustain |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Novus Capital Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 67012U108 (CUSIP Number) 31 December 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 12, 2021 |
EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 12, 2021 |
EXHIBIT 2 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENT, that I, Michael Edward Platt, hereby make, constitute and appoint Steven Pariente, acting individually, as my agent and attorney-in-fact for the purpose of executing in my name, (a) in my personal capacity or (b) in my capacity as principal of, or in other capacities with, BlueCrest Capital Management Limited, a company organized under the |
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| February 11, 2021 |
AppHarvest, Inc. (formerly known as Novus Capital Corporation) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* AppHarvest, Inc. (formerly known as Novus Capital Corporation) (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 03783T103 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appr |
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| February 10, 2021 |
TABLE OF CONTENTS As filed with the U.S. Securities and Exchange Commission on February 10, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APPHARVEST, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or or |
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| February 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* APPHARVEST, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 03783T 103 (CUSIP Number) Jonathan Webb c/o AppHarvest, Inc. 401 W. Main Street, Suite 321 Lexington, KY 40507 (Name, Address and Telephone Number o |
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| February 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. ) Under the Securities Exchange Act of 1934 appHarvest, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 03783T 103 (CUSIP Number) January 29, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pu |
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| February 5, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* AppHarvest, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 03783T103 (CUSIP Number) Anne T. Sullivan Inclusive Capital Partners, L.P. 572 Ruger Street, Suite B San Francisco, CA 94129 Eleazer Klein, Esq. Adriana Schwartz, |
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| February 2, 2021 |
Exhibit 99.1 AppHarvest, a Pioneering Developer and Operator of Sustainable, Large-Scale Controlled Environment Indoor Farms, Becomes a Public AgTech Company AppHarvest and Novus Capital Complete Business Combination AppHarvest to Begin Trading on Nasdaq as “APPH” on February 1, 2021 Company Reaffirms Full-Year 2021 Guidance February 1, 2021 – MOREHEAD, Kentucky – AppHarvest (“the Company”), a lea |
