Form 4 for SES SES AI Corp
Accepted 2022-11-25 00:00:00 ET · period of report 2022-11-23 · accession 0001415889-22-011774 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-11-25 | 2022-11-23+ | SES | Gan Hong | CSO | S - Sale+OE | $4.78 | -30.0K | 279.3K | -10% | -$143.4K |
| DM | 2022-11-25 | 2022-11-23+ | SES | Gan Hong | CSO | M - OptEx | $0.14 | +30.0K | 294.3K | +11% | +$4,200 |
| DM | 2022-11-25 | 2022-11-23+ | SES | Gan Hong | CSO | M - OptEx | $0.00 | -30.0K | 24.2K | -55% | $0 |
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 | 2022-11-25 | S | D | 15,000 | $4.96 | 279,329 | D | — | — | (F3) The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.82 to $5.04, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. (F1) Includes 279,329 shares of Class A common stock underlying restricted share units which are unvested. |
| 2 | Common | Class A Common Stock | 2022-11-23 | M | A | 15,000 | $0.14 | 294,329 | D | — | — | (F1) Includes 279,329 shares of Class A common stock underlying restricted share units which are unvested. |
| 3 | Common | Class A Common Stock | 2022-11-25 | M | A | 15,000 | $0.14 | 294,329 | D | — | — | (F1) Includes 279,329 shares of Class A common stock underlying restricted share units which are unvested. |
| 4 | Common | Class A Common Stock | 2022-11-23 | S | D | 15,000 | $4.60 | 279,329 | D | — | — | (F2) The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.60 to $4.64, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4 (F1) Includes 279,329 shares of Class A common stock underlying restricted share units which are unvested. |
| 5 | Derivative | Stock Option | 2022-11-23 | M | D | 15,000 | $0.00 | 39,233 | D | $0.14 · — to 2030-03-31 | 15,000 Class A Common Stock | (F4) Reflects fully vested options granted on April 1, 2020, subject to the Reporting Person's continued service on the vesting date. |
| 6 | Derivative | Stock Option | 2022-11-25 | M | D | 15,000 | $0.00 | 24,233 | D | $0.14 · — to 2030-03-31 | 15,000 Class A Common Stock | (F4) Reflects fully vested options granted on April 1, 2020, subject to the Reporting Person's continued service on the vesting date. |