0001104659-21-147787.txt : 20211208 0001104659-21-147787.hdr.sgml : 20211208 20211208200419 ACCESSION NUMBER: 0001104659-21-147787 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211208 FILED AS OF DATE: 20211208 DATE AS OF CHANGE: 20211208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldberg Steven H CENTRAL INDEX KEY: 0001879989 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40284 FILM NUMBER: 211479985 MAIL ADDRESS: STREET 1: C/O SOLID POWER, INC. STREET 2: 486 S PIERCE AVE., SUITE E CITY: LOUISVILLE STATE: CO ZIP: 80027 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Decarbonization Plus Acquisition Corp III CENTRAL INDEX KEY: 0001844862 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 861888095 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 486 S. PIERCE AVE., SUITE E CITY: LOUISVILLE STATE: CO ZIP: 80027 BUSINESS PHONE: (303) 219-0720 MAIL ADDRESS: STREET 1: 486 S. PIERCE AVE., SUITE E CITY: LOUISVILLE STATE: CO ZIP: 80027 4 1 tm2134826-18_4seq.xml OWNERSHIP DOCUMENT X0306 4 2021-12-08 0 0001844862 Decarbonization Plus Acquisition Corp III SLDP 0001879989 Goldberg Steven H C/O SOLID POWER, INC. 486 S. PIERCE AVE., SUITE E LOUISVILLE CO 80027 1 0 0 0 Stock Option (Right to Buy) 0.17 2021-12-08 4 A 0 968620 A 2029-09-20 Common Stock 968620 968620 D 25% of the total number of shares issuable upon exercise of the option vested on September 6, 2020, and 1/36 of the remaining shares issuable upon exercise of the option vested or will vest, as applicable, monthly thereafter. On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio. /s/ James Liebscher, attorney-in-fact on behalf of Steven H. Goldberg 2021-12-08