Rohit Makharia - Nov 17, 2022 Form 4 Insider Report for SES AI Corp (SES)

Role
PRES. & CHIEF OP. OFFICER
Signature
/s/ Kyle Pilkington, Attorney-in-Fact
Stock symbol
SES
Transactions as of
Nov 17, 2022
Transactions value $
-$407,083
Form type
4
Date filed
11/21/2022, 04:05 PM
Previous filing
Aug 17, 2022
Next filing
Dec 16, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SES Class A Common Stock Options Exercise $13.2K +82.8K $0.16 82.8K Nov 17, 2022 Direct
transaction SES Class A Common Stock Sale -$412K -82.8K -100% $4.97 0 Nov 17, 2022 Direct F1
transaction SES Class A Common Stock Options Exercise $296 +1.85K $0.16 1.85K Nov 18, 2022 Direct
transaction SES Class A Common Stock Sale -$9.06K -1.85K -100% $4.91 0 Nov 18, 2022 Direct F2

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 -82.8K -1.21% $0.00 6.76M Nov 17, 2022 Class A Common Stock 82.8K $0.16 Direct F3
transaction SES Stock Option Options Exercise $0 -1.85K -0.03% $0.00 6.76M Nov 18, 2022 Class A Common Stock 1.85K $0.16 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.90 to $5.03, 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.
F2 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.90 to $4.93, 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 Reflects options granted on March 1, 2021 that vested 25% on the first anniversary of the grant date and will continue to vest in equal monthly installments over the following 36 months, subject to the Reporting Person's continued service on each vesting date.