FRIEDLAND ROBERT M

SEC source: 0001654954-26-006236 · form4.xml · derivative · entry 3

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 916,666 shares

Expires 2026-06-30

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: The option became exercisable in four equal annual installments beginning on June 30, 2021.

SEC source: 0001654954-26-006236 · form4.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,466,436

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: 168,250 shares are subject to vesting criteria related to continued employment.

SEC source: 0001654954-26-002049 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,549,770

F1 · shares: Restricted share unit award subject to vesting beginning on March 6, 2026 and continued employment.

F2 · balance_after: 212,770 of the shares are subject to vesting criteria related to continued employment.

SEC source: 0001654954-26-001361 · section16.xml · derivative · entry 3

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ivanhoe Capital Pte Ltd.

Disclosed balance after: 0

Underlying: Common Stock · 816,667 shares

Expires 2026-02-17

F2 · price: On February 14, 2025, Mr. Friedland indirectly purchased 816,667 IE Units for $5.85 per Unit. Each Unit consisted of one share of Common Stock and one public warrant to purchase one share of Common Stock at an exercise price at $7.00 per whole share, subject to adjustment as described under the heading "Description of Securities - Warrants to be Issued in this Offering" in the Issuer's Prospectus Supplement dated February 12, 2025 to Prospectus dated July 10, 2023 (File No. 333-273195) (the "Prospectus Supplement").

SEC source: 0001654954-26-001361 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ivanhoe Capital Pte Ltd.

Disclosed balance after: 2,252,970

SEC source: 0001654954-25-002549 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,470,562

F1 · shares: Restricted share unit award subject to vesting beginning on March 6, 2026 and continued employment.

SEC source: 0001654954-25-001583 · section16.xml · derivative · entry 3

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ivanhoe Capital Pte Ltd.

Disclosed balance after: 816,667

Underlying: Common Stock · 816,667 shares

Expires not disclosed

F2 · derivative.exercise_price: Total includes shares previously owned directly by Mr. Friedland that were transferred to an entity that is wholly owned and controlled by Mr. Friedland.

F2 · price: Total includes shares previously owned directly by Mr. Friedland that were transferred to an entity that is wholly owned and controlled by Mr. Friedland.

F3 · derivative.exercise_date: The public warrants will become exercisable beginning on the date of issuance and at any time up to the date that is twelve months after the initial closing date of the Issuer's offering as described under the heading "Description of Securities - Warrants to be Issued in this Offering" in the Prospectus Supplement.

F4 · derivative.expiration_date: The public warrants will expire on the twelve-month anniversary of the initial closing date of the Issuer's offering as described under the heading "Description of Securities -Warrants to be Issued in this Offering" in the Prospectus Supplement.

F1 · ownership.nature: The reported securities are included within 816,667 IE Units purchased by an entity that is wholly owned and controlled by the reporting person for $5.85 per Unit. Each Unit consists of one share of Common Stock and one public warrant to purchase one share of Common Stock at an exercise price at $7.00 per whole share, subject to adjustment as described under the heading "Description of Securities - Warrants to be Issued in this Offering" in the Issuer's Prospectus Supplement dated February 12, 2025 to Prospectus dated July 10, 2023 (File No. 333-273195) (the "Prospectus Supplement").

SEC source: 0001654954-25-001583 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ivanhoe Capital Pte Ltd.

Disclosed balance after: 1,436,303

F1 · price: The reported securities are included within 816,667 IE Units purchased by an entity that is wholly owned and controlled by the reporting person for $5.85 per Unit. Each Unit consists of one share of Common Stock and one public warrant to purchase one share of Common Stock at an exercise price at $7.00 per whole share, subject to adjustment as described under the heading "Description of Securities - Warrants to be Issued in this Offering" in the Issuer's Prospectus Supplement dated February 12, 2025 to Prospectus dated July 10, 2023 (File No. 333-273195) (the "Prospectus Supplement").

F2 · ownership.nature: Total includes shares previously owned directly by Mr. Friedland that were transferred to an entity that is wholly owned and controlled by Mr. Friedland.

SEC source: 0001654954-24-004410 · section16.xml · derivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 415,170

Underlying: Common Stock · 415,170 shares

Expires 2031-04-08

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on April 8, 2025.

SEC source: 0001654954-24-003315 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,956,636

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.72 to $8.75, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff at 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.

SEC source: 0001654954-24-002952 · section16.xml · nonDerivative · entry 2

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,953,604

SEC source: 0001654954-24-002952 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,943,735

SEC source: 0001654954-24-001427 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,943,062

F1 · price: Received in exchange for 480,000 common shares of Kaizen Discovery Inc. ("Kaizen") owned by the Reporting Person in connection with the Issuer's acquisition of Kaizen (the "Arrangement"). Immediately preceding the effective date, the closing price of the Kaizen common shares on the TSX Venture Exchange was CAD$0.13 per share, and the closing price of the Issuer's common stock on the NYSE American was $8.18 per share.

SEC source: 0001654954-23-012381 · section16.xml · derivative · entry 2

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 553,960 shares

Expires 2023-07-31

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.

F1 · derivative.exercise_price: The Reporting Person converted a promissory note issued by I-Pulse Inc. that became exchangeable upon the Issuer's IPO into shares of the Issuer's common stock held by I-Pulse at a price per share $4.6929.

F1 · derivative.exercise_date: The Reporting Person converted a promissory note issued by I-Pulse Inc. that became exchangeable upon the Issuer's IPO into shares of the Issuer's common stock held by I-Pulse at a price per share $4.6929.

F2 · derivative.expiration_date: The reporting person delayed his election to convert the I-Pulse Convertible Note into common shares of the Issuer until the Issuer exited a trading blackout of its securities that had been in place since prior to maturity of the I-Pulse Convertible Note.

SEC source: 0001654954-23-012381 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,939,284

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 · shares: The Reporting Person converted a promissory note issued by I-Pulse Inc. that became exchangeable upon the Issuer's IPO into shares of the Issuer's common stock held by I-Pulse at a price per share $4.6929.

SEC source: 0001654954-22-015994 · section16.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,385,324

SEC source: 0001104659-22-121833 · tm2231260-6_4seq1.xml · derivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 583,334

Underlying: Common Stock · 583,334 shares

Expires 2029-11-21

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on November 21, 2023.

SEC source: 0001104659-22-101227 · tm2226160-2_4seq1.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,962,557

SEC source: 0001104659-22-077004 · tm2219451-22_4seq1.xml · derivative · entry 4

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 677,682 shares

Expires 2023-07-31

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.

F1 · derivative.exercise_date: Upon the consummation of an initial public offering that resulted in gross proceeds of at least $25 million (a "Qualifying IPO"), the Series 1 Convertible Notes, including any accrued but unpaid interest thereon, automatically converted into shares of common stock at a price per share equal to the lesser of (A) 80% of the gross price per share at which common stock is sold in the Qualifying IPO, and (B) $9.39 per share of common stock, subject in each case to adjustment for any stock split, stock dividend, reverse stock split, or similar transactions.

SEC source: 0001104659-22-077004 · tm2219451-22_4seq1.xml · nonDerivative · entry 2

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,545,891

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.35 to $8.80, inclusive. The reporting person undertakes to provide to Ivanhoe Electric Inc., any security holder of Ivanhoe Electric Inc., 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 footnote (2) to this Form 4.

SEC source: 0001104659-22-077004 · tm2219451-22_4seq1.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,366,374

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: Upon the consummation of an initial public offering that resulted in gross proceeds of at least $25 million (a "Qualifying IPO"), the Series 1 Convertible Notes, including any accrued but unpaid interest thereon, automatically converted into shares of common stock at a price per share equal to the lesser of (A) 80% of the gross price per share at which common stock is sold in the Qualifying IPO, and (B) $9.39 per share of common stock, subject in each case to adjustment for any stock split, stock dividend, reverse stock split, or similar transactions.

SEC source: 0000899243-22-015233 · doc4.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,519

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 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 33,519 shares of Class A Common Stock underlying RSUs, which are subject to forfeiture until they vest.

SEC source: 0001104659-22-012775 · tm225522d1_4.xml · nonDerivative · entry 2

FRIEDLAND ROBERT M · CIK 0000938198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares of Class A common stock of New SES were purchased in multiple transactions at prices ranging from $6.94 to $8.16. The reporting person undertakes to provide to New SES, any security holder thereof or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Class A common stock purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001104659-22-012775 · tm225522d1_4.xml · derivative · entry 5

FRIEDLAND ROBERT M · CIK 0000938198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,166

Underlying: Class A Common Stock · 79,166 shares

Expires 2027-02-03

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_price: In connection with the consummation of the Business Combination and the Domestication, the reporting person's public warrants of Ivanhoe were automatically converted into warrants to purchase shares of Class A common stock of New SES at an exercise price of $11.50 per whole share, subject to adjustment, on a one-for-one basis.

F3 · price: In connection with the consummation of the Business Combination and the Domestication, the reporting person's public warrants of Ivanhoe were automatically converted into warrants to purchase shares of Class A common stock of New SES at an exercise price of $11.50 per whole share, subject to adjustment, on a one-for-one basis.

SEC source: 0001104659-22-012775 · tm225522d1_4.xml · derivative · entry 4

FRIEDLAND ROBERT M · CIK 0000938198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 79,166 shares

Expires 2027-02-03

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_price: In connection with the consummation of the Business Combination and the Domestication, the reporting person's public warrants of Ivanhoe were automatically converted into warrants to purchase shares of Class A common stock of New SES at an exercise price of $11.50 per whole share, subject to adjustment, on a one-for-one basis.

F3 · price: In connection with the consummation of the Business Combination and the Domestication, the reporting person's public warrants of Ivanhoe were automatically converted into warrants to purchase shares of Class A common stock of New SES at an exercise price of $11.50 per whole share, subject to adjustment, on a one-for-one basis.

SEC source: 0001104659-22-012775 · tm225522d1_4.xml · derivative · entry 3

FRIEDLAND ROBERT M · CIK 0000938198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 200,000 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 consummation of the transactions contemplated by the Business Combination Agreement, dated July 12, 2021 (as amended on September 20, 2021), by and among Ivanhoe Capital Acquisition Corp. ("Ivanhoe"), Wormhole Merger Sub Pte. Ltd. and SES Holdings Pte. Ltd. (the transactions contemplated thereby, the "Business Combination"), Ivanhoe domesticated as a Delaware corporation (the "Domestication") and changed its name to "SES AI Corporation" ("New SES"). In connection with the Domestication, the reporting person's Class A ordinary shares, par value $0.0001 per share, of Ivanhoe were automatically converted into shares of Class A common stock of New SES, par value $0.0001 per share, on a one-for-one basis.

F1 · price: In connection with the consummation of the transactions contemplated by the Business Combination Agreement, dated July 12, 2021 (as amended on September 20, 2021), by and among Ivanhoe Capital Acquisition Corp. ("Ivanhoe"), Wormhole Merger Sub Pte. Ltd. and SES Holdings Pte. Ltd. (the transactions contemplated thereby, the "Business Combination"), Ivanhoe domesticated as a Delaware corporation (the "Domestication") and changed its name to "SES AI Corporation" ("New SES"). In connection with the Domestication, the reporting person's Class A ordinary shares, par value $0.0001 per share, of Ivanhoe were automatically converted into shares of Class A common stock of New SES, par value $0.0001 per share, on a one-for-one basis.

F1 · derivative.exercise_date: In connection with the consummation of the transactions contemplated by the Business Combination Agreement, dated July 12, 2021 (as amended on September 20, 2021), by and among Ivanhoe Capital Acquisition Corp. ("Ivanhoe"), Wormhole Merger Sub Pte. Ltd. and SES Holdings Pte. Ltd. (the transactions contemplated thereby, the "Business Combination"), Ivanhoe domesticated as a Delaware corporation (the "Domestication") and changed its name to "SES AI Corporation" ("New SES"). In connection with the Domestication, the reporting person's Class A ordinary shares, par value $0.0001 per share, of Ivanhoe were automatically converted into shares of Class A common stock of New SES, par value $0.0001 per share, on a one-for-one basis.

F1 · derivative.expiration_date: In connection with the consummation of the transactions contemplated by the Business Combination Agreement, dated July 12, 2021 (as amended on September 20, 2021), by and among Ivanhoe Capital Acquisition Corp. ("Ivanhoe"), Wormhole Merger Sub Pte. Ltd. and SES Holdings Pte. Ltd. (the transactions contemplated thereby, the "Business Combination"), Ivanhoe domesticated as a Delaware corporation (the "Domestication") and changed its name to "SES AI Corporation" ("New SES"). In connection with the Domestication, the reporting person's Class A ordinary shares, par value $0.0001 per share, of Ivanhoe were automatically converted into shares of Class A common stock of New SES, par value $0.0001 per share, on a one-for-one basis.

SEC source: 0001104659-22-012775 · tm225522d1_4.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

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 consummation of the transactions contemplated by the Business Combination Agreement, dated July 12, 2021 (as amended on September 20, 2021), by and among Ivanhoe Capital Acquisition Corp. ("Ivanhoe"), Wormhole Merger Sub Pte. Ltd. and SES Holdings Pte. Ltd. (the transactions contemplated thereby, the "Business Combination"), Ivanhoe domesticated as a Delaware corporation (the "Domestication") and changed its name to "SES AI Corporation" ("New SES"). In connection with the Domestication, the reporting person's Class A ordinary shares, par value $0.0001 per share, of Ivanhoe were automatically converted into shares of Class A common stock of New SES, par value $0.0001 per share, on a one-for-one basis.

SEC source: 0001104659-21-094153 · tm2122770d1_4.xml · derivative · entry 2

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,166

Underlying: Class A Ordinary Shares · 79,166 shares

Expires not disclosed

F1 · derivative.exercise_price: Each whole public warrant is exercisable to purchase one Class A Ordinary Share at an exercise price at $11.50 per whole share, subject to adjustment as described under the heading "Description of Securities - Warrants - Public Shareholders' Warrants" in the Issuer's Registration Statement on Form S-1 (File No. 333-251493) (the "Registration Statement").

F2 · derivative.exercise_date: The public warrants will become exercisable beginning on the later of January 11, 2022 or 30 days after the completion of the Issuer's initial business combination as described under the heading "Description of Securities - Warrants - Public Shareholders' Warrants" in the Registration Statement.

F3 · derivative.expiration_date: The public warrants will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation as described under the heading "Description of Securities -Warrants - Public Shareholders' Warrants" in the Registration Statement.

SEC source: 0001104659-21-094153 · tm2122770d1_4.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

SEC source: 0001104659-21-093132 · tm2122476-1_4.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

SEC source: 0001104659-21-092774 · tm2122380d1_4.xml · nonDerivative · entry 1

FRIEDLAND ROBERT M · CIK 0000938198 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000