Form: 3

Initial statement of beneficial ownership of securities

Documents

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Froutan Paul

(Last) (First) (Middle)
C/O EROCK, INC.
1113 VINE STREET, SUITE 101

(Street)
HOUSTON TX 77002

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/09/2026
3. Issuer Name and Ticker or Trading Symbol
ERock, Inc. [ EROC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Operating Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Class M Units (1)(2)(3) (1)(2)(3) Class A Common Stock 1,927,196 0.15(1)(2)(3) D
Class M Units (1)(2)(4) (1)(2)(4) Class A Common Stock 519,648 0.15(1)(2)(4) D
Class M Units (1)(2)(5) (1)(2)(5) Class A Common Stock 1,740,823 0.95(1)(2)(5) D
Class M Units (1)(2)(6) (1)(2)(6) Class A Common Stock 1,261,147 1.61(1)(2)(6) D
Explanation of Responses:
1. Reflect Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date.
2. Class B Units are exchangeable, at the holder's option, on a one-for-one basis for shares of Class A Common Stock of the Issuer or cash (at the Issuer's election).
3. These Class M Units are fully vested.
4. 389,736 of these Class M Units have vested, and the remaining Class M Units vest in 24 equal monthly installments on the last day of each calendar month commencing June 2026 and ending May 2028, subject to the Reporting Person's continuous service to the Issuer.
5. 483,558 of these Class M Units have vested, and the remaining Class M Units vest in 26 equal monthly installments commencing June 28, 2026 and ending July 28, 2028, subject to the Reporting Person's continuous service to the Issuer.
6. 210,188 of these Class M Units have vested, and the remaining Class M Units vest in 30 equal monthly installments commencing June 26, 2026 and ending November 26, 2028, subject to the Reporting Person's continuous service to the Issuer.
Remarks:
Exhibit 24 - Power of Attorney
/s/ Davis Zapffe, Attorney-in-fact for Paul Froutan 06/09/2026
** Signature of Reporting Person Date

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.