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

Role
CHIEF SCIENCE OFFICER
Signature
/s/ Kyle Pilkington, Attorney-in-Fact
Issuer symbol
SES
Transactions as of
17 Nov 2022
Net transactions value
-$137,728
Form type
4
Filing time
21 Nov 2022, 16:00:28 UTC
Previous filing
20 Apr 2022
Next filing
25 Nov 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SES Class A Common Stock Options Exercise $2,100 +15,000 +5.4% $0.1400* 294,329 17 Nov 2022 Direct F1
transaction SES Class A Common Stock Sale $74,068 -15,000 -5.1% $4.94 279,329 17 Nov 2022 Direct F1, F2
transaction SES Class A Common Stock Options Exercise $2,100 +15,000 +5.4% $0.1400* 294,329 21 Nov 2022 Direct F1
transaction SES Class A Common Stock Sale $67,860 -15,000 -5.1% $4.52 279,329 21 Nov 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 -15,000 -18% $0.000000 69,233 17 Nov 2022 Class A Common Stock 15,000 $0.1400 Direct F4
transaction SES Stock Option Options Exercise $0 -15,000 -22% $0.000000 54,233 21 Nov 2022 Class A Common Stock 15,000 $0.1400 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.