0001880162-23-000003.txt : 20231206 0001880162-23-000003.hdr.sgml : 20231206 20231206175032 ACCESSION NUMBER: 0001880162-23-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231205 FILED AS OF DATE: 20231206 DATE AS OF CHANGE: 20231206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Buettner-Garrett Joshua CENTRAL INDEX KEY: 0001880162 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40284 FILM NUMBER: 231470635 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: Solid Power, Inc. 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 FORMER COMPANY: FORMER CONFORMED NAME: Decarbonization Plus Acquisition Corp III DATE OF NAME CHANGE: 20210208 4 1 primary_doc.xml PRIMARY DOCUMENT X0508 4 2023-12-05 0 0001844862 Solid Power, Inc. SLDP 0001880162 Buettner-Garrett Joshua C/O SOLID POWER, INC. 486 S PIERCE AVE., SUITE E LOUISVILLE CO 80027 0 1 0 0 Chief Technology Officer 1 Common Stock 2023-12-05 4 M 0 187500 0.03 A 393933 D Common Stock 2023-12-05 4 S 0 187500 1.4724 D 206433 D Stock Option (Right to Buy) 0.03 2023-12-05 4 M 0 187500 0 D 2021-12-08 2025-03-20 Common Stock 187500 3153579 D 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. This sale was made pursuant to the 10b5-1 Plan. This transaction was executed in multiple trades at prices ranging from $1.42 to $1.538. 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. /s/ James Liebscher, attorney-in-fact on behalf of Joshua Buettner-Garrett 2023-12-06