Hong Gan - Nov 17, 2022 Form 4 Insider Report for SES AI Corp (SES)

Role
CHIEF SCIENCE OFFICER
Signature
/s/ Kyle Pilkington, Attorney-in-Fact
Stock symbol
SES
Transactions as of
Nov 17, 2022
Transactions value $
-$137,729
Form type
4
Date filed
11/21/2022, 04:00 PM
Previous filing
Apr 20, 2022
Next filing
Nov 25, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SES Class A Common Stock Options Exercise $2.1K +15K +5.37% $0.14* 294K Nov 17, 2022 Direct F1
transaction SES Class A Common Stock Sale -$74.1K -15K -5.1% $4.94 279K Nov 17, 2022 Direct F1, F2
transaction SES Class A Common Stock Options Exercise $2.1K +15K +5.37% $0.14* 294K Nov 21, 2022 Direct F1
transaction SES Class A Common Stock Sale -$67.9K -15K -5.1% $4.52 279K Nov 21, 2022 Direct F1, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SES Stock Option Options Exercise $0 -15K -17.81% $0.00 69.2K Nov 17, 2022 Class A Common Stock 15K $0.14 Direct F4
transaction SES Stock Option Options Exercise $0 -15K -21.67% $0.00 54.2K Nov 21, 2022 Class A Common Stock 15K $0.14 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 279,329 shares of Class A common stock underlying restricted share units which are unvested.
F2 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.93 to $4.9701, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, 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 ranges set forth in this footnote to this Form 4
F3 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.52 to $4.5501, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, 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 ranges set forth in this footnote to this Form 4.
F4 Reflects fully vested options granted on April 1, 2020, subject to the Reporting Person's continued service on the vesting date.