Filing Details
- Accession Number:
- 0001880162-23-000003
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-06 17:50:32
- Reporting Period:
- 2023-12-05
- Accepted Time:
- 2023-12-06 17:50:32
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1844862 | Solid Power Inc. | SLDP | Miscellaneous Electrical Machinery, Equipment & Supplies (3690) | 861888095 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1880162 | Joshua Buettner-Garrett | C/O Solid Power, Inc. 486 S Pierce Ave., Suite E Louisville CO 80027 | Chief Technology Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-12-05 | 187,500 | $0.03 | 393,933 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-05 | 187,500 | $1.47 | 206,433 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-12-05 | 187,500 | $0.00 | 187,500 | $0.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,153,579 | 2021-12-08 | 2025-03-20 | No | 4 | M | Direct |
Footnotes
- 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.
- This sale was made pursuant to the 10b5-1 Plan.
- This transaction was executed in multiple trades at prices ranging from $1.42 to $1.538. 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.
Billionaire Hedge Funds
