Form 4 for SES SES AI Corp
Accepted 2023-08-17 00:00:00 ET · period of report 2023-08-15 · accession 0001415889-23-012356 · 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 | 2023-08-17 | 2023-08-15+ | SES | Son Yongkyu | CTO | M - OptEx | $0.07 | +237.3K | 721.6K | +49% | +$16.6K |
| DM | 2023-08-17 | 2023-08-15+ | SES | Son Yongkyu | CTO | S - Sale+OE | $2.13 | -237.3K | 583.9K | -29% | -$504.5K |
| DM | 2023-08-17 | 2023-08-15+ | SES | Son Yongkyu | CTO | M - OptEx | $0.00 | -237.3K | 0 | -100% | $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 | 2023-08-15 | M | A | 99,576 | $0.07 | 683,438 | D | — | — | (F1) Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest. |
| 2 | Common | Class A Common Stock | 2023-08-16 | M | A | 137,735 | $0.07 | 721,597 | D | — | — | (F1) Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest. |
| 3 | Common | Class A Common Stock | 2023-08-15 | S | D | 99,576 | $2.12 | 583,862 | D | — | — | (F2) The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.11 to $2.135, 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 shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest. |
| 4 | Common | Class A Common Stock | 2023-08-16 | S | D | 137,735 | $2.13 | 583,862 | D | — | — | (F3) The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.09 to $2.225, 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 shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest. |
| 5 | Derivative | Stock Option (Right to Buy) | 2023-08-15 | M | D | 99,576 | $0.00 | 137,735 | D | $0.07 · — to 2026-08-14 | 99,576 Class A Common Stock | (F4) Reflects fully vested options granted on August 15, 2016, subject to the Reporting Person's continued service on the vesting date. |
| 6 | Derivative | Stock Option (Right to Buy) | 2023-08-16 | M | D | 137,735 | $0.00 | 0 | D | $0.07 · — to 2026-08-14 | 137,735 Class A Common Stock | (F4) Reflects fully vested options granted on August 15, 2016, subject to the Reporting Person's continued service on the vesting date. |