Form 4 for SLDP Solid Power, Inc.
Accepted 2024-07-10 00:00:00 ET · period of report 2024-07-09 · accession 0001880162-24-000012 · 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 | 2024-07-10 | 2024-07-09 | SLDP | Buettner-Garrett Joshua | CTO | M - OptEx | $0.03 | +187.5K | 870.6K | +27% | +$5,625 |
| D | 2024-07-10 | 2024-07-09 | SLDP | Buettner-Garrett Joshua | CTO | S - Sale+OE | $1.66 | -187.5K | 683.1K | -22% | -$311.2K |
| D | 2024-07-10 | 2024-07-09 | SLDP | Buettner-Garrett Joshua | CTO | M - OptEx | $0.00 | -187.5K | 1.69M | -10% | $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 | Common Stock | 2024-07-09 | M | A | 187,500 | $0.03 | 870,557 | D | — | — | (F1) The transactions reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 1, 2023 (the "10b5-1 Plan") for a stock option award set to expire on March 20, 2025. The 10b5-1 Plan is structured to include several sale periods and was established to cover the reporting person's tax liability arising from the option exercises and for longer-term asset diversification. |
| 2 | Common | Common Stock | 2024-07-09 | S | D | 187,500 | $1.66 | 683,057 | D | — | — | (F2) This sale was made pursuant to the 10b5-1 Plan. (F3) This transaction was executed in multiple trades at prices ranging from $1.62 to $1.72. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| 3 | Derivative | Stock Option (Right to Buy) | 2024-07-09 | M | D | 187,500 | $0.00 | 1,691,079 | D | $0.03 · 2021-12-08 to 2025-03-20 | 187,500 Common Stock | (F1) The transactions reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 1, 2023 (the "10b5-1 Plan") for a stock option award set to expire on March 20, 2025. The 10b5-1 Plan is structured to include several sale periods and was established to cover the reporting person's tax liability arising from the option exercises and for longer-term asset diversification. |