SLDP

SEC source: 0001104659-21-147778 · tm2134826-14_4seq.xml · derivative · entry 3

Buettner-Garrett Joshua · CIK 0001880162 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,520,734

Underlying: Common Stock · 477,296 shares

Expires 2031-08-03

F1 · price: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F2 · derivative.exercise_date: 25% of the total number of shares issuable upon exercise of the option will vest on August 3, 2022, and 1/36 of the remaining shares issuable upon exercise of the option vest monthly thereafter.

F1 · derivative.underlying_shares: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0001104659-21-147778 · tm2134826-14_4seq.xml · derivative · entry 2

Buettner-Garrett Joshua · CIK 0001880162 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,043,438

Underlying: Common Stock · 1,702,359 shares

Expires 2027-02-01

F1 · price: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F1 · derivative.underlying_shares: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0001104659-21-147778 · tm2134826-14_4seq.xml · derivative · entry 1

Buettner-Garrett Joshua · CIK 0001880162 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,341,089

Underlying: Common Stock · 3,341,079 shares

Expires 2025-03-20

F1 · price: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F1 · derivative.underlying_shares: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0001104659-21-147772 · tm2134826d11_4seq1.xml · derivative · entry 3

Campbell Douglas M · CIK 0001879903 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,568,465

Underlying: Common Stock · 477,296 shares

Expires 2031-08-03

F3 · price: At the Effective Time, each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) the Exchange Ratio, at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F4 · derivative.exercise_date: 25% of the shares issuable upon exercise of the option will vest on August 3, 2022, and 1/36 of the remaining shares issuable upon exercise of the option will vest monthly thereafter.

F3 · derivative.underlying_shares: At the Effective Time, each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) the Exchange Ratio, at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0001104659-21-147772 · tm2134826d11_4seq1.xml · derivative · entry 2

Campbell Douglas M · CIK 0001879903 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,091,169

Underlying: Common Stock · 5,091,169 shares

Expires 2022-02-01

F3 · price: At the Effective Time, each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) the Exchange Ratio, at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F3 · derivative.underlying_shares: At the Effective Time, each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) the Exchange Ratio, at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0001104659-21-147772 · tm2134826d11_4seq1.xml · nonDerivative · entry 1

Campbell Douglas M · CIK 0001879903 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,682,160

F1 · shares: Reflects shares of Common Stock, par value $0.0001, of the Issuer acquired upon the completion of the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each share of Solid Power common stock issued and outstanding immediately prior to the Effective Time was canceled and converted into the right to receive the number of shares of Common Stock of the Issuer equal to an exchange ratio calculated at closing (the "Exchange Ratio").

F2 · price: In connection with the Merger, at the Effective Time, each share of Solid Power common stock issued and outstanding immediately prior to the Effective Time was canceled and converted into the right to receive the number of shares of Common Stock of the Issuer equal to the Exchange Ratio.

SEC source: 0001104659-21-147787 · tm2134826-18_4seq.xml · derivative · entry 1

Goldberg Steven H · CIK 0001879989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 968,620

Underlying: Common Stock · 968,620 shares

Expires 2029-09-20

F2 · price: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F1 · derivative.exercise_date: 25% of the total number of shares issuable upon exercise of the option vested on September 6, 2020, and 1/36 of the remaining shares issuable upon exercise of the option vested or will vest, as applicable, monthly thereafter.

F2 · derivative.underlying_shares: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0001104659-21-147785 · tm2134826-17_4seq1.xml · derivative · entry 1

STEPHENS JOHN JOSEPH · CIK 0001258391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 381,837

Underlying: Common Stock · 381,837 shares

Expires 2031-10-27

F2 · price: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F1 · derivative.exercise_date: 1/3 of the total number of shares issuable upon exercise of the option will vest on each of September 29, 2022, September 29, 2023, and September 29, 2024.

F2 · derivative.underlying_shares: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0001104659-21-147788 · tm2134826d19_4seq1.xml · derivative · entry 1

Paprzycki Kevin A. · CIK 0001738972 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,034,143

Underlying: Common Stock · 1,034,143 shares

Expires 2031-10-27

F2 · price: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F1 · derivative.exercise_date: 25% of the total number of shares issuable upon exercise of the option will vest on October 25, 2022, and 1/36 of the remaining shares issuable upon exercise of the option vest monthly thereafter.

F2 · derivative.underlying_shares: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0001104659-21-147782 · tm2134826-16_4seq1.xml · derivative · entry 1

Liebscher James · CIK 0001891897 · Chief Legal Officer and Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 477,296

Underlying: Common Stock · 477,296 shares

Expires 2031-09-09

F2 · price: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

F1 · derivative.exercise_date: 25% of the total number of shares issuable upon exercise of the option will vest on June 11, 2022, and 1/36 of the remaining shares issuable upon exercise of the option vest monthly thereafter.

F2 · derivative.underlying_shares: On December 8, 2021, the Issuer completed the merger (the "Merger") pursuant to the as amended Business Combination Agreement and Plan of Reorganization, by and among the Issuer, a wholly owned subsidiary of the Issuer, and Solid Power, Inc. ("Solid Power"). At the effective time of the Merger (the "Effective Time"), each Solid Power option was converted into an option to purchase a number of shares of Common Stock of the Issuer, equal to the product (rounded down to the nearest whole number) of (x) the number of shares of Solid Power Common Stock subject to such Solid Power Option immediately prior to the Effective Time and (y) an exchange ratio calculated at closing (the "Exchange Ratio"), at an exercise price per share (rounded up to the nearest whole cent) equal to (A) the exercise price per share of such Solid Power Option immediately prior to the Effective Time divided by (B) the Exchange Ratio.

SEC source: 0000899243-21-047824 · doc4.xml · derivative · entry 1

Tepper Jeffrey · CIK 0001665610 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,257

Underlying: Class A Common Stock · 33,257 shares

Expires not disclosed

F1 · derivative.expiration_date: The warrants will expire on December 8, 2026, five years after the completion of the issuer's initial business combination which occurred on December 8, 2021, or earlier upon redemption or liquidation.

SEC source: 0000899243-21-047823 · doc4.xml · derivative · entry 1

Decarbonization Plus Acquisition Sponsor III LLC · CIK 0001844863 · 10% owner

RIVERSTONE HOLDINGS LLC · CIK 0001247497 · 10% owner

LEUSCHEN DAVID M · CIK 0001222726 · Director · 10% owner

LAPEYRE PIERRE F JR · CIK 0001232151 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,367,353

Underlying: Class A Common Stock · 7,367,353 shares

Expires not disclosed

F1 · derivative.expiration_date: The warrants will expire on December 8, 2026, five years after the completion of the issuer's initial business combination which occurred on December 8, 2021, or earlier upon redemption or liquidation.

F2 · ownership.nature: These warrants represent warrants held by Decarbonization Plus Acquisition Sponsor III LLC that were acquired pursuant to the private placement warrants purchase agreement, dated March 23, 2021. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which controls Decarbonization Plus Acquisition Sponsor III LLC.

F3 · ownership.nature: Each of Riverstone Holdings LLC, Mr. Leuschen and Mr. Lapeyre may be deemed to have or share beneficial ownership of the securities held directly by Decarbonization Plus Acquisition Sponsor III LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-21-047827 · doc4.xml · derivative · entry 1

McDermott James AC · CIK 0001347667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,543

Underlying: Class A Common Stock · 199,543 shares

Expires not disclosed

F1 · derivative.expiration_date: The warrants will expire on December 8, 2026, five years after the completion of the issuer's initial business combination which occurred on December 8, 2021, or earlier upon redemption or liquidation.

SEC source: 0000899243-21-047831 · doc4.xml · derivative · entry 3

Aaker Jennifer · CIK 0001820693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,257

Underlying: Class A Common Stock · 33,257 shares

Expires not disclosed

F3 · derivative.expiration_date: The warrants will expire on December 8, 2026, five years after the completion of the issuer's initial business combination which occurred on December 8, 2021, or earlier upon redemption or liquidation.

SEC source: 0000899243-21-047831 · doc4.xml · derivative · entry 2

Aaker Jennifer · CIK 0001820693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 40,000 shares

Expires not disclosed

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 · derivative.exercise_price: In connection with the closing of the business combination between Decarbonization Plus Acquisition Corporation III ("DCRC"), DCRC Merger Sub Inc. and Solid Power, Inc. on December 8, 2021, the Reporting Person's shares of Class B Common Stock automatically converted into shares of Class A Common Stock on a one-for-one basis. Upon consummation of the business combination, DCRC changed its name to "Solid Power, Inc."

F1 · price: In connection with the closing of the business combination between Decarbonization Plus Acquisition Corporation III ("DCRC"), DCRC Merger Sub Inc. and Solid Power, Inc. on December 8, 2021, the Reporting Person's shares of Class B Common Stock automatically converted into shares of Class A Common Stock on a one-for-one basis. Upon consummation of the business combination, DCRC changed its name to "Solid Power, Inc."

F2 · derivative.exercise_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

F2 · derivative.expiration_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

SEC source: 0000899243-21-047831 · doc4.xml · nonDerivative · entry 1

Aaker Jennifer · CIK 0001820693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

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 · price: In connection with the closing of the business combination between Decarbonization Plus Acquisition Corporation III ("DCRC"), DCRC Merger Sub Inc. and Solid Power, Inc. on December 8, 2021, the Reporting Person's shares of Class B Common Stock automatically converted into shares of Class A Common Stock on a one-for-one basis. Upon consummation of the business combination, DCRC changed its name to "Solid Power, Inc."

SEC source: 0000899243-21-047825 · doc4.xml · derivative · entry 1

Kearns Jane · CIK 0001827784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,257

Underlying: Class A Common Stock · 33,257 shares

Expires not disclosed

F1 · derivative.expiration_date: The warrants will expire on December 8, 2026, five years after the completion of the issuer's initial business combination which occurred on December 8, 2021, or earlier upon redemption or liquidation.

SEC source: 0000899243-21-041770 · doc4.xml · derivative · entry 2

Tepper Jeffrey · CIK 0001665610 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 40,000 shares

Expires not disclosed

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 · derivative.exercise_price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert his shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F1 · price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert his shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

F2 · derivative.expiration_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

SEC source: 0000899243-21-041770 · doc4.xml · nonDerivative · entry 1

Tepper Jeffrey · CIK 0001665610 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

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 · price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert his shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

SEC source: 0000899243-21-041772 · doc4.xml · derivative · entry 2

Decarbonization Plus Acquisition Sponsor III LLC · CIK 0001844863 · 10% owner

RIVERSTONE HOLDINGS LLC · CIK 0001247497 · 10% owner

LEUSCHEN DAVID M · CIK 0001222726 · 10% owner

LAPEYRE PIERRE F JR · CIK 0001232151 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 8,390,000 shares

Expires not disclosed

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 · derivative.exercise_price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert its shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F5 · shares: Number of shares has been adjusted to include 40,000 shares that were reported on the Form 4 filed by the Reporting Person on April 22, 2021 but which were inadvertently omitted from the number of shares reported in Column 9 of Table II of the Form 4 filed by the Reporting Person on May 7, 2021.

F1 · price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert its shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

F2 · derivative.expiration_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

F5 · derivative.underlying_shares: Number of shares has been adjusted to include 40,000 shares that were reported on the Form 4 filed by the Reporting Person on April 22, 2021 but which were inadvertently omitted from the number of shares reported in Column 9 of Table II of the Form 4 filed by the Reporting Person on May 7, 2021.

F3 · ownership.nature: Decarbonization Plus Acquisition Sponsor III LLC is the record holder of the shares reported herein. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which controls Decarbonization Plus Acquisition Sponsor III LLC.

F4 · ownership.nature: Each of Riverstone Holdings LLC, Mr. Leuschen and Mr. Lapeyre may be deemed to have or share beneficial ownership of the common stock held directly by Decarbonization Plus Acquisition Sponsor III LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-21-041772 · doc4.xml · nonDerivative · entry 1

Decarbonization Plus Acquisition Sponsor III LLC · CIK 0001844863 · 10% owner

RIVERSTONE HOLDINGS LLC · CIK 0001247497 · 10% owner

LEUSCHEN DAVID M · CIK 0001222726 · 10% owner

LAPEYRE PIERRE F JR · CIK 0001232151 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 8,390,000

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 · price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert its shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F3 · ownership.nature: Decarbonization Plus Acquisition Sponsor III LLC is the record holder of the shares reported herein. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which controls Decarbonization Plus Acquisition Sponsor III LLC.

F4 · ownership.nature: Each of Riverstone Holdings LLC, Mr. Leuschen and Mr. Lapeyre may be deemed to have or share beneficial ownership of the common stock held directly by Decarbonization Plus Acquisition Sponsor III LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-21-041769 · doc4.xml · derivative · entry 2

McDermott James AC · CIK 0001347667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 240,000 shares

Expires not disclosed

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 · derivative.exercise_price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert his shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F1 · price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert his shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

F2 · derivative.expiration_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

SEC source: 0000899243-21-041769 · doc4.xml · nonDerivative · entry 1

McDermott James AC · CIK 0001347667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

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 · price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert his shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

SEC source: 0000899243-21-041773 · doc4.xml · derivative · entry 2

Kearns Jane · CIK 0001827784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 40,000 shares

Expires not disclosed

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 · derivative.exercise_price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert her shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F1 · price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert her shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

F2 · derivative.expiration_date: The shares of Class B Common Stock were (i) convertible into shares of Class A Common Stock at the Reporting Person's election on a one-for-one basis and (ii) automatically convertible into shares of Class A Common Stock at the time of DCRC's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the Reporting Person in connection with DCRC's proposed business combination), and had no expiration date.

SEC source: 0000899243-21-041773 · doc4.xml · nonDerivative · entry 1

Kearns Jane · CIK 0001827784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

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 · price: In accordance with the amended and restated certificate of incorporation of Decarbonization Plus Acquisition Corporation III ("DCRC"), the Reporting Person elected to convert her shares of Class B Common Stock into shares of Class A Common Stock on a one-for-one basis.

SEC source: 0000899243-21-018690 · doc4.xml · derivative · entry 1

Decarbonization Plus Acquisition Sponsor III LLC · CIK 0001844863 · 10% owner

RIVERSTONE HOLDINGS LLC · CIK 0001247497 · 10% owner

LEUSCHEN DAVID M · CIK 0001222726 · 10% owner

LAPEYRE PIERRE F JR · CIK 0001232151 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 8,350,000

Underlying: Class A Common Stock · 1,312,500 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F2 · kind: The Class B Common Stock owned by Decarbonization Plus Acquisition Sponsor III LLC included up to 1,312,500 shares that were subject to forfeiture in the event the underwriters of the initial public offering of the Issuer's securities did not exercise in full their over-allotment option as described in the Issuer's Registration Statement on Form S-1 (File No. 333-253094). Because the underwriters did not exercise their over-allotment option and the option expired, Decarbonization Plus Acquisition Sponsor III LLC forfeited 1,312,500 shares of Class B Common Stock on May 7, 2021 for cancellation by the Issuer.

F1 · price: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F1 · derivative.exercise_date: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F1 · derivative.expiration_date: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F3 · ownership.nature: Decarbonization Plus Acquisition Sponsor III LLC is the record holder of the shares reported herein. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which controls Decarbonization Plus Acquisition Sponsor III LLC.

F4 · ownership.nature: Each of Riverstone Holdings LLC, Mr. Leuschen and Mr. Lapeyre may be deemed to have or share beneficial ownership of the common stock held directly by Decarbonization Plus Acquisition Sponsor III LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-21-016767 · doc4.xml · derivative · entry 1

Decarbonization Plus Acquisition Sponsor III LLC · CIK 0001844863 · 10% owner

RIVERSTONE HOLDINGS LLC · CIK 0001247497 · 10% owner

LEUSCHEN DAVID M · CIK 0001222726 · 10% owner

LAPEYRE PIERRE F JR · CIK 0001232151 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 9,702,500

Underlying: Class A Common Stock, par value $0.0001 per share · 40,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F2 · kind: Pursuant to the Securities Agreement, dated April 21, 2021, by and among the Issuer, Decarbonization Plus Acquisition Sponsor III LLC and Michael Warren, the Reporting person acquired 40,000 shares of Class B Common Stock from the Issuer following Michael Warren's resignation from the board of directors of the Issuer and forfeiture of an equivalent number of shares of Class B Common Stock of the Issuer.

F2 · price: Pursuant to the Securities Agreement, dated April 21, 2021, by and among the Issuer, Decarbonization Plus Acquisition Sponsor III LLC and Michael Warren, the Reporting person acquired 40,000 shares of Class B Common Stock from the Issuer following Michael Warren's resignation from the board of directors of the Issuer and forfeiture of an equivalent number of shares of Class B Common Stock of the Issuer.

F1 · derivative.exercise_date: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F1 · derivative.expiration_date: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F3 · ownership.nature: Decarbonization Plus Acquisition Sponsor III LLC is the record holder of the shares reported herein. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which is the sole and managing member of Decarbonization Plus Acquisition Sponsor III LLC.

F4 · ownership.nature: Each of Riverstone Holdings, LLC, Mr. Leuschen and Mr. Lapeyre may be deemed to have or share beneficial ownership of the common stock held directly by Decarbonization Plus Acquisition Sponsor III LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.