Form 4 for SES SES AI Corp
Accepted 2023-08-25 00:00:00 ET · period of report 2023-08-23 · accession 0001415889-23-012677 · 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 | 2023-08-25 | 2023-08-23 | SES | Makharia Rohit | Pres, Chief STRATEGY Off | S - Sale+OE | $2.13 | -208.8K | 104.6K | -67% | -$444.8K |
| D | 2023-08-25 | 2023-08-23 | SES | Makharia Rohit | Pres, Chief STRATEGY Off | M - OptEx | $0.16 | +208.8K | 313.4K | +200% | +$33.4K |
| D | 2023-08-25 | 2023-08-23 | SES | Makharia Rohit | Pres, Chief STRATEGY Off | M - OptEx | $0.00 | -208.8K | 6.47M | -3% | $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 | 2023-08-23 | S | D | 208,810 | $2.13 | 104,603 | D | — | — | (F2) The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.07 to $2.175, 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 104,603 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest. |
| 2 | Common | Class A Common Stock | 2023-08-23 | M | A | 208,810 | $0.16 | 313,413 | D | — | — | (F1) Includes 104,603 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest. |
| 3 | Derivative | Stock Option (Right to Buy) | 2023-08-23 | M | D | 208,810 | $0.00 | 6,467,676 | D | $0.16 · — to 2031-02-28 | 208,810 Class A Common Stock | (F3) Reflects options granted on March 1, 2021 that vested 25% on the first anniversary of the grant date and will continue to vest in equal monthly installments over the following 36 months, subject to the Reporting Person's continued service on each vesting date. |