Form 4 for SLDP Solid Power, Inc.

Accepted 2021-10-27 00:00:00 ET · period of report 2021-10-25 · accession 0000899243-21-041769 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2021-10-27	2021-10-25	SLDP	McDermott James AC	Dir	C - Cnv Deriv	—	+240.0K	240.0K	New	—
D	2021-10-27	2021-10-25	SLDP	McDermott James AC	Dir	C - Cnv Deriv	—	-240.0K	0	-100%	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Class A Common Stock	2021-10-25	C	A	240,000	—	240,000	D	—	—	(F1) In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert his shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.
2	Derivative	Class B Common Stock	2021-10-25	C	D	240,000	—	0	D	— · — to —	240,000 Class A Common Stock	(F1) In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert his shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis. (F2) The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.