Form 4 for SLDP Solid Power, Inc.
Accepted 2023-05-26 00:00:00 ET · period of report 2023-05-24 · accession 0000899243-23-013986 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-05-26 | 2023-05-24 | SLDP | ANDERSON ERIK J | Dir | A - Grant | $0.00 | +59.2K | 59.2K | New | $0 | |
| I | 2023-05-26 | 2023-05-25 | SLDP | ANDERSON ERIK J | Dir | S - Sale | $2.10 | -1,901 | 693.9K | -0.3% | -$3,992 |
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 | Common Stock | 2023-05-24 | A | A | 59,197 | $0.00 | 59,197 | D By WestRiver Management, LLC and affiliates | — | — | (F1) Represents restricted stock units, which upon vesting of the unit, represent the right to receive one share of the issuer's common stock. The restricted stock units vest upon the earlier of: (i) the first anniversary of the grant date or (ii) the day before the issuer's next annual meeting of stockholders following the grant date, in each case, subject to the reporting person continuing to be a service provider (as defined in the 2021 Solid Power, Inc. Equity Incentive Plan) through such vesting date. (F3) Represents 187,617 shares owned directly by WestRiver Management and 506,283 shares owned directly by WRG INV41, LLC ("WRG INV41"). WestRiver Management is the sole managing member of WRG INV41. The Reporting Person is the sole member and sole manager of WestRiver Management. As a result, the Reporting Person may be deemed to beneficially own the securities held of record by WestRiver Management and WRG INV41, LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. |
| 2 | Common | Common Stock | 2023-05-25 | S | D | 1,901 | $2.10 | 693,900 | I | — | — | (F2) By WRG DCRC, LLC ("WRG DCRC"), of which WestRiver Management, LLC ("WestRiver Management") is the sole managing member. The Reporting Person is the sole member and sole manager of WestRiver Management. As a result, the Reporting Person may be deemed to beneficially own the securities held of record by WRG DCRC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. |