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SES

SES AI Corp

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2220
SEC CIK
0001819142
Parsed reports
226

Last 12 months

Inside the activity.

0 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202501
Dec 202501
Jan 202602
Feb 202600
Mar 202601
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May 202601
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 14, 2023 Filed Dec 15, 2023 22:30 UTC
Makharia RohitPRES. & CHIEF STRATEGY OFFICER
Exercise / conversionClass A Common Stock 212,000 $0.16 $33,920.00
Disclosure

SEC source: 0001415889-23-016536 · form4-12152023_051201.xml · nonDerivative · entry 1

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF STRATEGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 316,603

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 11, 2023 Filed Dec 12, 2023 22:30 UTC
Makharia RohitPRES. & CHIEF STRATEGY OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 75,000 $0.00 Strike: $0.16 $0.00
Disclosure

SEC source: 0001415889-23-016319 · form4-12122023_051207.xml · derivative · entry 3

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF STRATEGY OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,392,676

Underlying: Class A Common Stock · 75,000 shares

Expires 2031-02-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sale of Class A Common Stock of the issuer was executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person on September 11, 2023.

F4 · derivative.exercise_date: Reflects options granted on March 1, 2021 that will vest 25% on the first anniversary of the grant date and continue to vest in equal monthly installments over the following 36 months, subject to the Reporting Person's continued service on the vesting date.

Read SEC document
December 11, 2023 Filed Dec 12, 2023 22:30 UTC
Makharia RohitPRES. & CHIEF STRATEGY OFFICER
SaleClass A Common Stock 75,000 $2.12 $159,015.00
Disclosure

SEC source: 0001415889-23-016319 · form4-12122023_051207.xml · nonDerivative · entry 2

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF STRATEGY OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 104,603

F1 · kind: The option exercise and sale of Class A Common Stock of the issuer was executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person on September 11, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.04 to $2.17, 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 · balance_after: Represents shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), underlying restricted stock units ("RSUs") granted to the reporting person on April 17, 2023 (the "Grant Date") pursuant to the Issuer's 2021 Incentive Award Plan. The RSUs will vest, and an equal number of shares of Class A Common Stock will be deliverable to the reporting person, in three equal installments on the first, second and third anniversaries of the Grant Date, subject to continued employment through each applicable vesting date.

Read SEC document
December 11, 2023 Filed Dec 12, 2023 22:30 UTC
Makharia RohitPRES. & CHIEF STRATEGY OFFICER
Exercise / conversionClass A Common Stock 75,000 $0.16 $12,000.00
Disclosure

SEC source: 0001415889-23-016319 · form4-12122023_051207.xml · nonDerivative · entry 1

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF STRATEGY OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 179,603

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sale of Class A Common Stock of the issuer was executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person on September 11, 2023.

Read SEC document
December 05, 2023 Filed Dec 6, 2023 22:30 UTC
Gan HongCHIEF SCIENCE OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $0.15 $0.00
Disclosure

SEC source: 0001415889-23-015937 · form4-12062023_051201.xml · derivative · entry 3

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 418,277

Underlying: Class A Common Stock · 25,000 shares

Expires 2029-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sale of Class A Common Stock of the issuer was executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person on September 5, 2023.

F3 · derivative.exercise_date: Reflects fully vested options granted on March 14, 2019.

Read SEC document
December 05, 2023 Filed Dec 6, 2023 22:30 UTC
Gan HongCHIEF SCIENCE OFFICER
SaleClass A Common Stock 25,000 $2.28 $57,115.00
Disclosure

SEC source: 0001415889-23-015937 · form4-12062023_051201.xml · nonDerivative · entry 2

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 451,273

F1 · kind: The option exercise and sale of Class A Common Stock of the issuer was executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person on September 5, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.23 to $2.35, 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

Read SEC document
December 05, 2023 Filed Dec 6, 2023 22:30 UTC
Gan HongCHIEF SCIENCE OFFICER
Exercise / conversionClass A Common Stock 25,000 $0.15 $3,750.00
Disclosure

SEC source: 0001415889-23-015937 · form4-12062023_051201.xml · nonDerivative · entry 1

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 476,273

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sale of Class A Common Stock of the issuer was executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person on September 5, 2023.

Read SEC document
November 17, 2023 Filed Nov 20, 2023 22:50 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 10,802 $2.37 $25,649.35
Disclosure

SEC source: 0001415889-23-015308 · form4-11202023_051101.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,521,364

F1 · kind: Shares were sold solely to cover taxes upon vesting of a restricted share award, pursuant to a plan adopted on June 14, 2022 intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.30 to $2.4817, 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 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each vesting date.

F4 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
October 17, 2023 Filed Oct 19, 2023 20:20 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 10,910 $2.51 $27,365.55
Disclosure

SEC source: 0001415889-23-014439 · form4-10192023_041001.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,532,166

F1 · kind: Shares were sold solely to cover taxes upon vesting of a restricted share award, pursuant to a plan adopted on June 14, 2022 intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.44 to $2.545, 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 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each vesting date.

F4 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
September 18, 2023 Filed Sep 20, 2023 20:30 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 11,280 $2.13 $24,071.52
Disclosure

SEC source: 0001415889-23-013461 · form4-09202023_040901.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,543,076

F1 · kind: Shares were sold solely to cover taxes upon vesting of a restricted share award, pursuant to a plan adopted on June 14, 2022 intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.125 to $2.145, 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 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each vesting date.

F4 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
September 11, 2023 Filed Sep 13, 2023 20:15 UTC
Gan HongCHIEF SCIENCE OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $0.15 $0.00
Disclosure

SEC source: 0001415889-23-013222 · form4-09132023_040904.xml · derivative · entry 3

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 443,277

Underlying: Class A Common Stock · 50,000 shares

Expires 2029-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Reflects fully vested options granted on March 14, 2019.

Read SEC document
September 11, 2023 Filed Sep 13, 2023 20:15 UTC
Gan HongCHIEF SCIENCE OFFICER
SaleClass A Common Stock 50,000 $2.19 $109,360.00
Disclosure

SEC source: 0001415889-23-013222 · form4-09132023_040904.xml · nonDerivative · entry 2

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 451,273

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.08 to $2.255, 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.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
September 11, 2023 Filed Sep 13, 2023 20:15 UTC
Gan HongCHIEF SCIENCE OFFICER
Exercise / conversionClass A Common Stock 50,000 $0.15 $7,500.00
Disclosure

SEC source: 0001415889-23-013222 · form4-09132023_040904.xml · nonDerivative · entry 1

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 501,273

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 21:15 UTC
Makharia RohitPRES. & CHIEF STRATEGY OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 208,810 $0.00 Strike: $0.16 $0.00
Disclosure

SEC source: 0001415889-23-012677 · form4-08252023_050801.xml · derivative · entry 3

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF STRATEGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,467,676

Underlying: Class A Common Stock · 208,810 shares

Expires 2031-02-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 21:15 UTC
Makharia RohitPRES. & CHIEF STRATEGY OFFICER
SaleClass A Common Stock 208,810 $2.13 $444,222.39
Disclosure

SEC source: 0001415889-23-012677 · form4-08252023_050801.xml · nonDerivative · entry 2

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF STRATEGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,603

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.07 to $2.175, 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.

F1 · balance_after: Includes 104,603 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 21:15 UTC
Makharia RohitPRES. & CHIEF STRATEGY OFFICER
Exercise / conversionClass A Common Stock 208,810 $0.16 $33,409.60
Disclosure

SEC source: 0001415889-23-012677 · form4-08252023_050801.xml · nonDerivative · entry 1

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF STRATEGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,413

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 104,603 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest.

Read SEC document
August 18, 2023 Filed Aug 22, 2023 20:15 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 10,895 $2.12 $23,129.00
Disclosure

SEC source: 0001415889-23-012477 · form4-08222023_040801.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,554,356

F1 · kind: Shares were sold solely to cover taxes upon vesting of a restricted share award, pursuant to a plan intended to comply with Rule 10b5-1(c) under the Exchange Act, adopted on June 14, 2022.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.09 to $2.14, 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 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each vesting date.

F4 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
August 17, 2023 Filed Aug 18, 2023 20:20 UTC
Gan HongCHIEF SCIENCE OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $0.15 $0.00
Disclosure

SEC source: 0001415889-23-012406 · form4-08182023_040801.xml · derivative · entry 3

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 493,277

Underlying: Class A Common Stock · 50,000 shares

Expires 2029-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Reflects fully vested options granted on March 14, 2019.

Read SEC document
August 17, 2023 Filed Aug 18, 2023 20:20 UTC
Gan HongCHIEF SCIENCE OFFICER
SaleClass A Common Stock 50,000 $2.13 $106,300.00
Disclosure

SEC source: 0001415889-23-012406 · form4-08182023_040801.xml · nonDerivative · entry 2

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 451,273

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.08 to $2.165, 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.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
August 17, 2023 Filed Aug 18, 2023 20:20 UTC
Gan HongCHIEF SCIENCE OFFICER
Exercise / conversionClass A Common Stock 50,000 $0.15 $7,500.00
Disclosure

SEC source: 0001415889-23-012406 · form4-08182023_040801.xml · nonDerivative · entry 1

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 501,273

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
August 16, 2023 Filed Aug 17, 2023 20:15 UTC
Son YongkyuCHIEF TECHNOLOGY OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 137,735 $0.00 Strike: $0.07 $0.00
Disclosure

SEC source: 0001415889-23-012356 · form4-08172023_040801.xml · derivative · entry 6

Son Yongkyu · CIK 0001907466 · CHIEF TECHNOLOGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 137,735 shares

Expires 2026-08-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Reflects fully vested options granted on August 15, 2016, subject to the Reporting Person's continued service on the vesting date.

Read SEC document
August 16, 2023 Filed Aug 17, 2023 20:15 UTC
Son YongkyuCHIEF TECHNOLOGY OFFICER
SaleClass A Common Stock 137,735 $2.13 $293,471.96
Disclosure

SEC source: 0001415889-23-012356 · form4-08172023_040801.xml · nonDerivative · entry 4

Son Yongkyu · CIK 0001907466 · CHIEF TECHNOLOGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 583,862

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.09 to $2.225, 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.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
August 16, 2023 Filed Aug 17, 2023 20:15 UTC
Son YongkyuCHIEF TECHNOLOGY OFFICER
Exercise / conversionClass A Common Stock 137,735 $0.07 $9,641.45
Disclosure

SEC source: 0001415889-23-012356 · form4-08172023_040801.xml · nonDerivative · entry 3

Son Yongkyu · CIK 0001907466 · CHIEF TECHNOLOGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 721,597

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 20:15 UTC
Son YongkyuCHIEF TECHNOLOGY OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 99,576 $0.00 Strike: $0.07 $0.00
Disclosure

SEC source: 0001415889-23-012356 · form4-08172023_040801.xml · derivative · entry 5

Son Yongkyu · CIK 0001907466 · CHIEF TECHNOLOGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,735

Underlying: Class A Common Stock · 99,576 shares

Expires 2026-08-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Reflects fully vested options granted on August 15, 2016, subject to the Reporting Person's continued service on the vesting date.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 20:15 UTC
Son YongkyuCHIEF TECHNOLOGY OFFICER
SaleClass A Common Stock 99,576 $2.12 $210,682.90
Disclosure

SEC source: 0001415889-23-012356 · form4-08172023_040801.xml · nonDerivative · entry 2

Son Yongkyu · CIK 0001907466 · CHIEF TECHNOLOGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 583,862

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.11 to $2.135, 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.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 20:15 UTC
Son YongkyuCHIEF TECHNOLOGY OFFICER
Exercise / conversionClass A Common Stock 99,576 $0.07 $6,970.32
Disclosure

SEC source: 0001415889-23-012356 · form4-08172023_040801.xml · nonDerivative · entry 1

Son Yongkyu · CIK 0001907466 · CHIEF TECHNOLOGY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 683,438

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
August 09, 2023 Filed Aug 11, 2023 20:15 UTC
Pilkington KyleCHIEF LEGAL OFFICER
SaleClass A Common Stock 3,870 $2.55 $9,875.08
Disclosure

SEC source: 0001415889-23-012137 · form4-08112023_040801.xml · nonDerivative · entry 1

Pilkington Kyle · CIK 0001937313 · CHIEF LEGAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 225,900

F1 · kind: This transaction was effected pursuant to an automatic sell-to-cover arrangement between the Reporting Person and SES AI Corporation on August 8, 2022 to cover applicable withholding taxes on the vesting of restricted stock units. The automatic sell-to-cover instructions were intended to comply with the requirements of Rule 10b5-1(c). The sale was not a discretionary trade by the Reporting Person.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.55 to $2.61, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

Read SEC document
July 17, 2023 Filed Jul 19, 2023 20:15 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 10,650 $2.67 $28,411.01
Disclosure

SEC source: 0001415889-23-011319 · form4-07192023_040701.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,565,251

F1 · kind: Shares were sold solely to cover taxes upon vesting of a restricted share award, pursuant to a plan intended to comply with Rule 10b5-1(c) under the Exchange Act, adopted on June 14, 2022.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.615 to $2.72, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

F4 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each vesting date.

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June 20, 2023 Filed Jun 22, 2023 20:15 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 10,763 $1.95 $20,948.03
Disclosure

SEC source: 0001415889-23-010147 · form4-06222023_040602.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,575,901

F1 · kind: Shares were sold solely to cover taxes upon vesting of a restricted share award, pursuant to a plan intended to comply with Rule 10b5-1(c) under the Exchange Act, adopted on June 14, 2022.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.865 to $2.01, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

F4 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each vesting date.

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June 09, 2023 Filed Jun 13, 2023 00:30 UTC
Gan HongCHIEF SCIENCE OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $0.15 $0.00
Disclosure

SEC source: 0001415889-23-009684 · form4-06122023_080601.xml · derivative · entry 3

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 543,277

Underlying: Class A Common Stock · 50,000 shares

Expires 2029-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Reflects fully vested options granted on March 14, 2019.

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June 09, 2023 Filed Jun 13, 2023 00:30 UTC
Gan HongCHIEF SCIENCE OFFICER
SaleClass A Common Stock 50,000 $1.91 $95,250.00
Disclosure

SEC source: 0001415889-23-009684 · form4-06122023_080601.xml · nonDerivative · entry 2

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 451,273

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.87 to $1.99, 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.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

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June 09, 2023 Filed Jun 13, 2023 00:30 UTC
Gan HongCHIEF SCIENCE OFFICER
Exercise / conversionClass A Common Stock 50,000 $0.15 $7,500.00
Disclosure

SEC source: 0001415889-23-009684 · form4-06122023_080601.xml · nonDerivative · entry 1

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 501,273

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

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May 19, 2023 Filed May 23, 2023 21:15 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 10,530 $1.47 $15,467.52
Disclosure

SEC source: 0001415889-23-008632 · form4-05232023_050501.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,586,664

F1 · kind: Shares were sold solely to cover taxes upon vesting of a restricted share award, pursuant to a plan intended to comply with Rule 10b5-1(c) under the Exchange Act, adopted on June 14, 2022.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.45 to $1.495, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

F4 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each vesting date.

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April 28, 2023 Filed May 2, 2023 21:00 UTC
Hu QichaoDirector · CEO & CHAIRMAN · 10% owner
SaleClass A Common Stock 69,872 $1.65 $115,330.72
Disclosure

SEC source: 0001415889-23-007100 · form4-05022023_050501.xml · nonDerivative · entry 1

Hu Qichao · CIK 0001907013 · Director · CEO & CHAIRMAN · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,350,607

F1 · kind: This transaction was effected pursuant to an automatic sell-to-cover instruction adopted by the Reporting Person on April 18, 2022 to cover applicable withholding taxes on the vesting of restricted stock units. The automatic sell-to-cover instructions were intended to comply with the requirements of Rule 10b5-1(c). The sale was not a discretionary trade by the Reporting Person.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.595 to $1.70, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

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April 28, 2023 Filed May 2, 2023 21:00 UTC
Son YongkyuCHIEF TECHNOLOGY OFFICER
SaleClass A Common Stock 37,381 $1.65 $61,697.34
Disclosure

SEC source: 0001415889-23-007103 · form4-05022023_050507.xml · nonDerivative · entry 1

Son Yongkyu · CIK 0001907466 · CHIEF TECHNOLOGY OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 583,862

F1 · kind: This transaction was effected pursuant to an automatic sell-to-cover instruction adopted by the Reporting Person on April 18, 2022 to cover applicable withholding taxes on the vesting of restricted stock units. The automatic sell-to-cover instructions were intended to comply with the requirements of Rule 10b5-1(c). The sale was not a discretionary trade by the Reporting Person.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.595 to $1.70, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

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April 28, 2023 Filed May 2, 2023 21:00 UTC
Pilkington KyleCHIEF LEGAL OFFICER
SaleClass A Common Stock 4,570 $1.65 $7,543.24
Disclosure

SEC source: 0001415889-23-007104 · form4-05022023_050510.xml · nonDerivative · entry 1

Pilkington Kyle · CIK 0001937313 · CHIEF LEGAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 229,770

F1 · kind: This transaction was effected pursuant to an automatic sell-to-cover instruction adopted by the Reporting Person on April 18, 2022 to cover applicable withholding taxes on the vesting of restricted stock units. The automatic sell-to-cover instructions were intended to comply with the requirements of Rule 10b5-1(c). The sale was not a discretionary trade by the Reporting Person.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.595 to $1.70, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

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April 28, 2023 Filed May 2, 2023 21:00 UTC
Gan HongCHIEF SCIENCE OFFICER
SaleClass A Common Stock 37,261 $1.65 $61,503.01
Disclosure

SEC source: 0001415889-23-007102 · form4-05022023_050505.xml · nonDerivative · entry 1

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 451,273

F1 · kind: This transaction was effected pursuant to an automatic sell-to-cover instruction adopted by the Reporting Person on April 18, 2022 to cover applicable withholding taxes on the vesting of restricted stock units. The automatic sell-to-cover instructions were intended to comply with the requirements of Rule 10b5-1(c). The sale was not a discretionary trade by the Reporting Person.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.595 to $1.70, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

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April 28, 2023 Filed May 2, 2023 21:00 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 31,963 $1.65 $52,758.13
Disclosure

SEC source: 0001415889-23-007101 · form4-05022023_050503.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,597,194

F1 · kind: This transaction was effected pursuant to an automatic sell-to-cover instruction adopted by the Reporting Person on April 18, 2022 to cover applicable withholding taxes on the vesting of restricted stock units. The automatic sell-to-cover instructions were intended to comply with the requirements of Rule 10b5-1(c). The sale was not a discretionary trade by the Reporting Person.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.595 to $1.70, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

F4 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the Reporting Person's continued service on each vesting date.

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April 26, 2023 Filed Apr 28, 2023 23:00 UTC
Nealis JingCHIEF FINANCIAL OFFICER
SaleClass A Common Stock 14,271 $1.70 $24,276.40
Disclosure

SEC source: 0001415889-23-007035 · form4-04282023_070401.xml · nonDerivative · entry 1

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,629,157

F1 · kind: Shares were sold solely to cover taxes upon vesting of a restricted share award, pursuant to a plan intended to comply with Rule 10b5-1(c) under the Exchange Act, adopted on June 14, 2022.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.695 to $1.71, 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 · balance_after: Includes shares of Class A Common Stock underlying restricted stock units, which are subject to forfeiture until they vest.

F4 · balance_after: Includes shares of Class A Common Stock under a restricted share award granted on August 16, 2021. The restricted share award vested 25% on the first anniversary of the grant date and will vest in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each vesting date.

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April 17, 2023 Filed Apr 18, 2023 22:00 UTC
Makharia RohitPRES. & CHIEF OP. OFFICER
GrantPerformance Vesting Restricted Stock Units · Derivative 104,603 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006631 · form4-04182023_060431.xml · derivative · entry 2

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,603

Underlying: Class A Common Stock · 104,603 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.exercise_price: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F3 · derivative.exercise_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.exercise_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F3 · derivative.expiration_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.expiration_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

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April 17, 2023 Filed Apr 18, 2023 22:00 UTC
Makharia RohitPRES. & CHIEF OP. OFFICER
GrantClass A Common Stock 104,603 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006631 · form4-04182023_060431.xml · nonDerivative · entry 1

Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,603

F1 · shares: Represents shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), underlying restricted stock units ("RSUs") granted to the reporting person on April 17, 2023 (the "Grant Date") pursuant to the Issuer's 2021 Incentive Award Plan. The RSUs will vest, and an equal number of shares of Class A Common Stock will be deliverable to the reporting person, in three equal installments on the first, second and third anniversaries of the Grant Date, subject to continued employment through each applicable vesting date.

F2 · balance_after: Includes 104,603 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest.

Read SEC document
April 14, 2023 Filed Apr 18, 2023 22:00 UTC
Hu QichaoDirector · CEO & CHAIRMAN · 10% owner
GrantPerformance Vesting Restricted Stock Units · Derivative 836,820 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006625 · form4-04182023_060413.xml · derivative · entry 2

Hu Qichao · CIK 0001907013 · Director · CEO & CHAIRMAN · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 836,820

Underlying: Class A Common Stock · 836,820 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment or service through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment or service through such date.

F4 · derivative.exercise_price: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F3 · derivative.exercise_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment or service through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment or service through such date.

F4 · derivative.exercise_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F3 · derivative.expiration_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment or service through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment or service through such date.

F4 · derivative.expiration_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

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April 14, 2023 Filed Apr 18, 2023 22:00 UTC
Hu QichaoDirector · CEO & CHAIRMAN · 10% owner
GrantClass A Common Stock 836,820 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006625 · form4-04182023_060413.xml · nonDerivative · entry 1

Hu Qichao · CIK 0001907013 · Director · CEO & CHAIRMAN · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,420,479

F1 · shares: Represents shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), underlying restricted stock units ("RSUs") granted to the reporting person on April 14, 2023 (the "Grant Date") pursuant to the Issuer's 2021 Incentive Award Plan. The RSUs will vest, and an equal number of shares of Class A Common Stock will be deliverable to the reporting person, in three equal installments on the first, second and third anniversaries of the Grant Date, subject to continued employment or service through each applicable vesting date.

F2 · balance_after: Includes 1,395,479 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest.

Read SEC document
April 14, 2023 Filed Apr 18, 2023 18:00 UTC GrantClass A Common Stock 62,762 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006623 · form4-04182023_060408.xml · nonDerivative · entry 1

NOONEN MICHAEL · CIK 0001085396 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,281

F1 · shares: Represents shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), underlying restricted stock units ("RSUs") granted to the reporting person on April 14, 2023 (the "Grant Date") pursuant to the Issuer's 2021 Incentive Award Plan. The RSUs will vest in full, and an equal number of shares of Class A Common Stock will be deliverable to the reporting person, on the first anniversary of the Grant Date, subject to continued service through such vesting date.

F2 · balance_after: Includes 96,281 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest.

Read SEC document
April 14, 2023 Filed Apr 18, 2023 22:00 UTC
Ma JiongDirector
GrantClass A Common Stock 62,762 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006622 · form4-04182023_060404.xml · nonDerivative · entry 1

Ma Jiong · CIK 0001854872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,281

F1 · shares: Represents shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), underlying restricted stock units ("RSUs") granted to the reporting person on April 14, 2023 (the "Grant Date") pursuant to the Issuer's 2021 Incentive Award Plan. The RSUs will vest in full, and an equal number of shares of Class A Common Stock will be deliverable to the reporting person, on the first anniversary of the Grant Date, subject to continued service through such vesting date.

F2 · balance_after: Includes 96,281 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest.

Read SEC document
April 14, 2023 Filed Apr 18, 2023 22:00 UTC
Gan HongCHIEF SCIENCE OFFICER
GrantPerformance Vesting Restricted Stock Units · Derivative 209,205 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006628 · form4-04182023_060420.xml · derivative · entry 2

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,205

Underlying: Class A Common Stock · 209,205 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.exercise_price: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F3 · derivative.exercise_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.exercise_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F3 · derivative.expiration_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.expiration_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

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April 14, 2023 Filed Apr 18, 2023 22:00 UTC
Gan HongCHIEF SCIENCE OFFICER
GrantClass A Common Stock 209,205 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006628 · form4-04182023_060420.xml · nonDerivative · entry 1

Gan Hong · CIK 0001907008 · CHIEF SCIENCE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 488,534

F1 · shares: Represents shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), underlying restricted stock units ("RSUs") granted to the reporting person on April 14, 2023 (the "Grant Date") pursuant to the Issuer's 2021 Incentive Award Plan. The RSUs will vest, and an equal number of shares of Class A Common Stock will be deliverable to the reporting person, in three equal installments on the first, second and third anniversaries of the Grant Date, subject to continued employment through each applicable vesting date.

F2 · balance_after: Includes 488,534 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest

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April 14, 2023 Filed Apr 18, 2023 22:00 UTC
Pilkington KyleCHIEF LEGAL OFFICER
GrantPerformance Vesting Restricted Stock Units · Derivative 167,364 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006627 · form4-04182023_060417.xml · derivative · entry 2

Pilkington Kyle · CIK 0001937313 · CHIEF LEGAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,364

Underlying: Class A Common Stock · 167,364 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.exercise_price: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F3 · derivative.exercise_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.exercise_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F3 · derivative.expiration_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F4 · derivative.expiration_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

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April 14, 2023 Filed Apr 18, 2023 22:00 UTC
Pilkington KyleCHIEF LEGAL OFFICER
GrantClass A Common Stock 167,364 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006627 · form4-04182023_060417.xml · nonDerivative · entry 1

Pilkington Kyle · CIK 0001937313 · CHIEF LEGAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 234,340

F1 · shares: Represents shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), underlying restricted stock units ("RSUs") granted to the reporting person on April 14, 2023 (the "Grant Date") pursuant to the Issuer's 2021 Incentive Award Plan. The RSUs will vest, and an equal number of shares of Class A Common Stock will be deliverable to the reporting person, in three equal installments on the first, second and third anniversaries of the Grant Date, subject to continued employment through each applicable vesting date.

F2 · balance_after: Includes 234,340 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest.

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April 14, 2023 Filed Apr 18, 2023 22:00 UTC
Nealis JingCHIEF FINANCIAL OFFICER
GrantPerformance Vesting Restricted Share Units · Derivative 209,205 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006626 · form4-04182023_060415.xml · derivative · entry 2

Nealis Jing · CIK 0001907020 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,205

Underlying: Class A Common Stock · 209,205 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F5 · derivative.exercise_price: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F4 · derivative.exercise_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F5 · derivative.exercise_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

F4 · derivative.expiration_date: Represents shares of Class A Common Stock underlying performance vesting RSUs ("PSUs") granted to the reporting person on the Grant Date pursuant to the Issuer's 2021 Incentive Award Plan. The PSUs vest in one installment following the end of a three-year period (the "Initial Performance Period") commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date. If following the Initial Performance Period there are PSUs that have not vested, then such PSUs remain eligible to vest in an additional installment following the end of a five-year period commencing on the Grant Date, subject to the achievement of certain Class A Common Stock price milestones and the reporting person's continued employment through such date.

F5 · derivative.expiration_date: The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. The share price thresholds for vesting of the PSUs are as follows: under $12.5, 0%; $12.5 or greater, 25%; $15 or greater, 50%; $17.5 or greater, 75%; and $20 or greater, 100%. A specified percentage of the PSUs will vest based on the average closing price of Class A Common Stock during any consecutive 100-calendar-day period during the Initial Performance Period, assuming that the average closing price during the last 30-calendar-day period in the Initial Performance also exceeds the highest share price threshold achieved. Otherwise, the number of PSUs that vest will be based on the average closing price during the last 30 calendar days of the Initial Performance Period using the same share price thresholds.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.