Form 4 for SLDP Solid Power, Inc.
Accepted 2021-12-10 00:00:00 ET · period of report 2021-12-08 · accession 0000899243-21-047831 · 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 | 2021-12-10 | 2021-12-08 | SLDP | Aaker Jennifer | Dir | C - Cnv Deriv | — | +40.0K | 40.0K | New | — |
| D | 2021-12-10 | 2021-12-08 | SLDP | Aaker Jennifer | Dir | C - Cnv Deriv | — | -40.0K | 0 | -100% | — |
| D | 2021-12-10 | 2021-12-08 | SLDP | Aaker Jennifer | Dir | J - Other | $1.50 | -33.3K | 33.3K | -50% | -$49.9K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-12-08 | C | A | 40,000 | — | 40,000 | D | — | — | (F1) In connection with the closing of the business combination between Decarbonization Plus Acquisition Corporation III ("DCRC"), DCRC Merger Sub Inc. and Solid Power, Inc. on December 8, 2021, the Reporting Person's shares of Class B Common Stock automatically converted into shares of Class A Common Stock on a one-for-one basis. Upon consummation of the business combination, DCRC changed its name to "Solid Power, Inc." |
| 2 | Derivative | Class B Common Stock | 2021-12-08 | C | D | 40,000 | — | 0 | D | — · — to — | 40,000 Class A Common Stock | (F1) In connection with the closing of the business combination between Decarbonization Plus Acquisition Corporation III ("DCRC"), DCRC Merger Sub Inc. and Solid Power, Inc. on December 8, 2021, the Reporting Person's shares of Class B Common Stock automatically converted into shares of Class A Common Stock on a one-for-one basis. Upon consummation of the business combination, DCRC changed its name to "Solid Power, Inc." (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. |
| 3 | Derivative | Warrants (right to buy) | 2021-12-08 | J | D | 33,257 | $1.50 | 33,257 | D | $11.50 · 2022-03-26 to — | 33,257 Class A Common Stock | (F3) The warrants will expire on December 8, 2026, five years after the completion of the issuer's initial business combination which occurred on December 8, 2021, or earlier upon redemption or liquidation. |