0000899243-23-013986.txt : 20230526 0000899243-23-013986.hdr.sgml : 20230526 20230526173710 ACCESSION NUMBER: 0000899243-23-013986 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230524 FILED AS OF DATE: 20230526 DATE AS OF CHANGE: 20230526 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ANDERSON ERIK J CENTRAL INDEX KEY: 0001174968 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40284 FILM NUMBER: 23970496 MAIL ADDRESS: STREET 1: 1411 E MISSION AVE CITY: SPOKANE STATE: WA ZIP: 99202 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 doc4.xml FORM 4 SUBMISSION X0407 4 2023-05-24 0 0001844862 Solid Power, Inc. SLDP 0001174968 ANDERSON ERIK J C/O SOLID POWER,INC. 486 S. PIERCE AVENUE, SUITE E LOUISVILLE CO 80027 1 0 0 0 0 Common Stock 2023-05-24 4 A 0 59197 0.00 A 59197 D Common Stock 2023-05-25 4 S 0 1901 2.10 D 693900 I By WestRiver Management, LLC and affiliates Represents restricted stock units, which upon vesting of the unit, represent the right to receive one share of the issuer's common stock. The restricted stock units vest upon the earlier of: (i) the first anniversary of the grant date or (ii) the day before the issuer's next annual meeting of stockholders following the grant date, in each case, subject to the reporting person continuing to be a service provider (as defined in the 2021 Solid Power, Inc. Equity Incentive Plan) through such vesting date. By WRG DCRC, LLC ("WRG DCRC"), of which WestRiver Management, LLC ("WestRiver Management") is the sole managing member. The Reporting Person is the sole member and sole manager of WestRiver Management. As a result, the Reporting Person may be deemed to beneficially own the securities held of record by WRG DCRC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Represents 187,617 shares owned directly by WestRiver Management and 506,283 shares owned directly by WRG INV41, LLC ("WRG INV41"). WestRiver Management is the sole managing member of WRG INV41. The Reporting Person is the sole member and sole manager of WestRiver Management. As a result, the Reporting Person may be deemed to beneficially own the securities held of record by WestRiver Management and WRG INV41, LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. /s/ Erik J Anderson 2023-05-26