Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SES AI CorpSES · Entity 2220 | CHIEF LEGAL & CORP. OFFICER | June 13, 2022 | June 15, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SES AI Corp
Report date June 13, 2022 · Filed June 15, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 228,141 |
Reported balance
After 2022-06-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-06-13 · Exercise / conversion · Acquired 4,678 · Balance 228,141 |
| Class A Common StockSEC Table I · non-derivative | Direct | 265,472 |
Reported balance
After 2022-06-13 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-06-13 · Exercise / conversion · Acquired 37,331 · Balance 265,472 |
| Class A Common StockSEC Table I · non-derivative | Direct | 238,613 |
Reported balance
After 2022-06-13 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2022-06-13 · Sale · Disposed 26,859 · Balance 238,613 F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.01 to $4.06, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4 F2: Includes 223,463 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 18, 2022 (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 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.14 · Expires 2030-03-31 | Direct | 46,699 |
Reported balance
After 2022-06-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-06-13 · Exercise / conversion · Disposed 4,678 · Balance 46,699 F3: Reflects fully vested options granted on April 1, 2020, subject to the Reporting Person's continued service on the vesting date. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.15 · Expires 2029-03-13 | Direct | 704,266 |
Reported balance
After 2022-06-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-06-13 · Exercise / conversion · Disposed 37,331 · Balance 704,266 F4: Reflects options granted on March 14, 2019 that vested 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.01 to $4.06, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4
F2: Includes 223,463 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 18, 2022 (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
F3: Reflects fully vested options granted on April 1, 2020, subject to the Reporting Person's continued service on the vesting date.
F4: Reflects options granted on March 14, 2019 that vested 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 13, 2022 Filed Jun 15, 2022 20:18 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option · Derivative | 37,331 | $0.00 Strike: $0.15 | $0.00 |
DisclosureSEC source: 0001415889-22-006590 · form4-06152022_010628.xml · derivative · entry 5 Ban Joanne · CIK 0001907071 · CHIEF LEGAL & CORP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 704,266 Underlying: Class A Common Stock · 37,331 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. F4 · derivative.exercise_date: Reflects options granted on March 14, 2019 that vested 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 |
| June 13, 2022 Filed Jun 15, 2022 20:18 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option · Derivative | 4,678 | $0.00 Strike: $0.14 | $0.00 |
DisclosureSEC source: 0001415889-22-006590 · form4-06152022_010628.xml · derivative · entry 4 Ban Joanne · CIK 0001907071 · CHIEF LEGAL & CORP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,699 Underlying: Class A Common Stock · 4,678 shares Expires 2030-03-31 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 April 1, 2020, subject to the Reporting Person's continued service on the vesting date. Read SEC document |
| June 13, 2022 Filed Jun 15, 2022 20:18 UTC | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 26,859 | $4.03 | $108,292.80 |
DisclosureSEC source: 0001415889-22-006590 · form4-06152022_010628.xml · nonDerivative · entry 3 Ban Joanne · CIK 0001907071 · CHIEF LEGAL & CORP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,613 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.01 to $4.06, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4 F2 · balance_after: Includes 223,463 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 18, 2022 (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 |
| June 13, 2022 Filed Jun 15, 2022 20:18 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 37,331 | $0.15 | $5,599.65 |
DisclosureSEC source: 0001415889-22-006590 · form4-06152022_010628.xml · nonDerivative · entry 2 Ban Joanne · CIK 0001907071 · CHIEF LEGAL & CORP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,472 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 |
| June 13, 2022 Filed Jun 15, 2022 20:18 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 4,678 | $0.14 | $654.92 |
DisclosureSEC source: 0001415889-22-006590 · form4-06152022_010628.xml · nonDerivative · entry 1 Ban Joanne · CIK 0001907071 · CHIEF LEGAL & CORP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,141 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 |
| April 18, 2022 Filed Apr 21, 2022 00:20 UTC | SES AI Corp SES · Entity 2220 | GrantPerformance Vesting Restricted Stock Units · Derivative | 223,463 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-015241 · doc4.xml · derivative · entry 2 Ban Joanne · CIK 0001907071 · Chief Legal & Corp. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,463 Underlying: Class A Common Stock · 223,463 shares Expires not disclosed F2 · 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. F3 · derivative.exercise_price: (Continued from Footnote 2) For more information on these terms, see "Item 11. Executive Compensation-Compensation Arrangements for Fiscal 2022-Executive Officer Compensation" of the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2021. The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. F2 · 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. F3 · derivative.exercise_date: (Continued from Footnote 2) For more information on these terms, see "Item 11. Executive Compensation-Compensation Arrangements for Fiscal 2022-Executive Officer Compensation" of the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2021. The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. F2 · 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. F3 · derivative.expiration_date: (Continued from Footnote 2) For more information on these terms, see "Item 11. Executive Compensation-Compensation Arrangements for Fiscal 2022-Executive Officer Compensation" of the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2021. The number of PSUs reported represents the maximum number of PSUs that may vest following certification by the Issuer's compensation committee. Read SEC document |
| April 18, 2022 Filed Apr 21, 2022 00:20 UTC | SES AI Corp SES · Entity 2220 | GrantClass A Common Stock | 223,463 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-015241 · doc4.xml · nonDerivative · entry 1 Ban Joanne · CIK 0001907071 · Chief Legal & Corp. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,463 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 18, 2022 (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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.