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Solid Power, Inc. — Director's Dealing 2024
Jan 12, 2024
32430_dirs_2024-01-12_d997aa8d-7265-4e18-b4a9-2477840c827e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Solid Power, Inc. (SLDP)
CIK: 0001844862
Period of Report: 2024-01-11
Reporting Person: Buettner-Garrett Joshua (Chief Technology Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-01-11 | Common Stock | M | 187500 | $0.03 | Acquired | 543933 | Direct |
| 2024-01-11 | Common Stock | S | 187500 | $1.2911 | Disposed | 356433 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-01-11 | Stock Option (Right to Buy) | $0.03 | M | 187500 | Disposed | 2025-03-20 | Common Stock (187500) | Direct |
Footnotes
F1: The transactions reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 1, 2023 (the "10b5-1 Plan") for a stock option award set to expire on March 20, 2025. The 10b5-1 Plan is structured to include several sale periods and was established to cover the reporting person's tax liability arising from the option exercises and for longer-term asset diversification.
F2: This sale was made pursuant to the 10b5-1 Plan.
F3: This transaction was executed in multiple trades at prices ranging from $1.255 to $1.34. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.