FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/25/2022 |
3. Issuer Name and Ticker or Trading Symbol
Solid Power, Inc. [ SDLP ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.0001 per share | 8,390,000 | I | See footnotes(2)(5) |
Common Stock, par value $0.0001 per share | 6,798,303 | I | See footnotes(3)(5) |
Common Stock, par value $0.0001 per share | 485,112 | I | See footnotes(4)(5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants (right to buy) | 03/26/2022 | (1) | Common Stock, par value $0.0001 per share | 7,367,353 | $11.5 | I | See footnotes(2)(5) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The warrants will expire on December 8, 2026, five years after the completion of the issuer's business combination which occurred on December 8, 2021, or earlier upon redemption or liquidation. |
2. Decarbonization Plus Acquisition Sponsor III LLC is the record holder of these securities. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which is the managing member of Decarbonization Plus Acquisition Sponsor III LLC. |
3. REL Batavia Partnership, LP is the record holder of these securities. David M. Leuschen and Pierre F. Lapeyre, Jr. are the sole members of the ultimate general partner of REL Batavia Partnership, LP. |
4. Riverstone SP Partners, LLC is the record holder of these securities. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which is the managing member of Riverstone SP Partners, LLC. |
5. Each of Mr. Leuschen and Mr. Lapeyre may be deemed to have or share beneficial ownership of the securities held directly by Decarbonization Plus Acquisition Sponsor III LLC, REL Batavia Partnership, LP and Riverstone SP Partners, LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Remarks: |
Exhibit 24- Power of Attorney |
David M. Leuschen, By: /s/ Peter Haskopoulos, Attorney-in-fact | 02/14/2022 | |
Pierre F. Lapeyre, Jr., By: /s/ Peter Haskopoulos, Attorney-in-fact | 02/14/2022 | |
** 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 5 (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 Number. |