Statement of Changes in Beneficial Ownership (4)
March 03 2023 - 03:35PM
Edgar (US Regulatory)
FORM 4
[ ] 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
|
|
1. Name
and Address of Reporting Person * Johnson Derek
Colby |
2. Issuer Name and Ticker or Trading
Symbol Solid Power, Inc. [ SLDP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Operating Officer |
(Last)
(First)
(Middle)
C/O SOLID POWER, INC., 486 S PIERCE AVE., SUITE E |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/2/2023
|
(Street)
LOUISVILLE, CO 80027
(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 |
3/2/2023 |
|
A |
|
253984 (1) |
A |
$0 |
342288 |
D |
|
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 |
Stock Option (Right to Buy) |
$3.11 |
3/2/2023 |
|
A |
|
549023 |
|
(2) |
3/2/2033 |
Common Stock |
549023 |
$0 |
549023 |
D |
|
Explanation of
Responses: |
(1) |
Each restricted stock unit
represents a contingent right to receive one share of the
underlying common stock of the Issuer. The restricted stock units
will vest as to 25% of the granted number on March 2, 2024, and the
remaining 75% of the granted number will vest in 12 equal quarterly
installments commencing on March 31, 2024, and thereafter at the
end of each fiscal quarter of the Issuer, subject to the reporting
person continuing to be a service provider (as defined in the
Issuer's 2021 Equity Incentive Plan) through the applicable vesting
date. |
(2) |
The stock option will vest
as to 25% of the shares of the Issuer's common stock underlying the
grant on March 2, 2024, and will vest as to the remaining 75% of
the shares underlying the grant in 12 equal quarterly installments
commencing on March 31, 2024, and thereafter at the end of each
fiscal quarter of the Issuer, subject to the reporting person
continuing to be a service provider (as defined in the Issuer's
2021 Equity Incentive Plan) through the applicable vesting
date. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Johnson Derek Colby
C/O SOLID POWER, INC.
486 S PIERCE AVE., SUITE E
LOUISVILLE, CO 80027 |
|
|
Chief Operating Officer |
|
Signatures
|
/s/ James Liebscher, attorney-in-fact on behalf
of Derek C. Johnson |
|
3/3/2023 |
**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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