InsiderTrades

Form 4 for SES SES AI Corp

Accepted 2022-02-07 00:00:00 ET · period of report 2022-02-03 · accession 0001104659-22-012775 · 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 2022-02-07 2022-02-03 SES FRIEDLAND ROBERT M Dir C - Cnv Deriv — +200.0K 200.0K New —
D 2022-02-07 2022-02-04 SES FRIEDLAND ROBERT M Dir P - Purchase $7.57 +40.0K 240.0K +20% +$302.8K
DM 2022-02-07 2022-02-03 SES FRIEDLAND ROBERT M Dir C - Cnv Deriv — -200.0K 0 -100% —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Class A Common Stock 2022-02-03 C A 200,000 — 200,000 D — — (F1) In connection with the consummation of the transactions contemplated by the Business Combination Agreement, dated July 12, 2021 (as amended on September 20, 2021), by and among Ivanhoe Capital Acquisition Corp. ("Ivanhoe"), Wormhole Merger Sub Pte. Ltd. and SES Holdings Pte. Ltd. (the transactions contemplated thereby, the "Business Combination"), Ivanhoe domesticated as a Delaware corporation (the "Domestication") and changed its name to "SES AI Corporation" ("New SES"). In connection with the Domestication, the reporting person's Class A ordinary shares, par value $0.0001 per share, of Ivanhoe were automatically converted into shares of Class A common stock of New SES, par value $0.0001 per share, on a one-for-one basis.
2 Common Class A Common Stock 2022-02-04 P A 40,000 $7.57 240,000 D — — (F2) The price reported in Column 4 is a weighted average price. These shares of Class A common stock of New SES were purchased in multiple transactions at prices ranging from $6.94 to $8.16. The reporting person undertakes to provide to New SES, any security holder thereof or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Class A common stock purchased at each separate price within the ranges set forth in this footnote.
3 Derivative Class A Ordinary Shares 2022-02-03 C D 200,000 — 0 D — · — to — 200,000 Class A Ordinary Shares (F1) In connection with the consummation of the transactions contemplated by the Business Combination Agreement, dated July 12, 2021 (as amended on September 20, 2021), by and among Ivanhoe Capital Acquisition Corp. ("Ivanhoe"), Wormhole Merger Sub Pte. Ltd. and SES Holdings Pte. Ltd. (the transactions contemplated thereby, the "Business Combination"), Ivanhoe domesticated as a Delaware corporation (the "Domestication") and changed its name to "SES AI Corporation" ("New SES"). In connection with the Domestication, the reporting person's Class A ordinary shares, par value $0.0001 per share, of Ivanhoe were automatically converted into shares of Class A common stock of New SES, par value $0.0001 per share, on a one-for-one basis.
4 Derivative Public Warrants 2022-02-03 C A 79,166 — 79,166 D $11.50 · 2022-03-05 to 2027-02-03 79,166 Class A Common Stock (F3) In connection with the consummation of the Business Combination and the Domestication, the reporting person's public warrants of Ivanhoe were automatically converted into warrants to purchase shares of Class A common stock of New SES at an exercise price of $11.50 per whole share, subject to adjustment, on a one-for-one basis.
5 Derivative Public Warrants 2022-02-03 C D 79,166 — 0 D $11.50 · 2022-03-05 to 2027-02-03 79,166 Class A Ordinary Shares (F3) In connection with the consummation of the Business Combination and the Domestication, the reporting person's public warrants of Ivanhoe were automatically converted into warrants to purchase shares of Class A common stock of New SES at an exercise price of $11.50 per whole share, subject to adjustment, on a one-for-one basis.