Statement of Changes in Beneficial Ownership (4)
June 28 2022 - 09:01AM
Edgar (US Regulatory)
FORM 4
[X] Check this box if no longer subject to
Section 16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
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1. Name
and Address of Reporting Person * Volta Energy
Technologies, LLC |
2. Issuer Name and Ticker or Trading
Symbol Solid Power, Inc. [ SLDP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
28365 DAVIS PARKWAY, SUITE 202 |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/24/2022
|
(Street)
WARRENVILLE, IL 60555
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
6/24/2022 |
|
S |
|
235853 |
D |
$6.2501 (1) |
12015268 |
I |
By Volta SPV SPW, LLC (2) |
Common Stock |
6/24/2022 |
|
S |
|
187402 |
D |
$6.2501 (1) |
2246794 |
I |
By Volta Energy Storage Fund I,
LP (3) |
Common Stock |
6/24/2022 |
|
S |
|
33824 |
D |
$6.2501 (1) |
3137745 |
I |
By Volta SPW Co-investment, LP (4) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
The price reported in Column
4 is a weighted average price. These shares were sold in multiple
transactions at prices ranging from $6.20 to $6.50, inclusive. The
reporting person undertakes to provide to Solid Power, Inc., any
security holder of Solid Power, Inc., 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 range set forth in this footnote 1. |
(2) |
Securities owned directly by
Volta SPV SPW, LLC ("Volta SPV"). The Reporting Person is the
Managing member of Volta SPV. |
(3) |
Securities owned by Volta
Energy Storage Fund I, LP ("VESF"). The General Partner of VESF,
Volta Energy Storage Fund I GP, LLC, is a wholly owned subsidiary
of the Reporting Person. |
(4) |
Securities owned by Volta
SPW Co-investment, LP ("Volta Co-Invest"). The General Partner of
Volta Co-invest, Volta Energy Storage Fund I GP, LLC, is a wholly
owned subsidiary of the Reporting Person. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Volta Energy Technologies, LLC
28365 DAVIS PARKWAY, SUITE 202
WARRENVILLE, IL 60555 |
|
X |
|
|
Signatures
|
/s/Mike Sodaro |
|
6/27/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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