Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SES AI CorpSES · Entity 2220 | PRES. & CHIEF STRATEGY OFFICER | December 14, 2023 | December 15, 2023 |
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 December 14, 2023 · Filed December 15, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 316,603 |
Reported balance
After 2023-12-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-12-14 · Exercise / conversion · Acquired 212,000 · Balance 316,603 |
| Class A Common StockSEC Table I · non-derivative | Direct | 104,603 |
Reported balance
After 2023-12-14 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2023-12-14 · Sale · Disposed 212,000 · Balance 104,603 F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.15 to $2.425, 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: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2031-02-28 | Direct | 6,180,676 |
Reported balance
After 2023-12-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-12-14 · Exercise / conversion · Disposed 212,000 · Balance 6,180,676 F3: 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 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 $2.15 to $2.425, 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: 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.
F3: 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 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 |
|---|---|---|---|---|---|---|
| December 14, 2023 Filed Dec 15, 2023 22:30 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option (Right to Buy) · Derivative | 212,000 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001415889-23-016536 · form4-12152023_051201.xml · derivative · entry 3 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF STRATEGY OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,180,676 Underlying: Class A Common Stock · 212,000 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. 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 the vesting date. Read SEC document |
| December 14, 2023 Filed Dec 15, 2023 22:30 UTC | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 212,000 | $2.26 | $479,226.00 |
DisclosureSEC source: 0001415889-23-016536 · form4-12152023_051201.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 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.15 to $2.425, 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: 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 14, 2023 Filed Dec 15, 2023 22:30 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 212,000 | $0.16 | $33,920.00 |
DisclosureSEC 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 | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC 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 | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 75,000 | $2.12 | $159,015.00 |
DisclosureSEC 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 | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 75,000 | $0.16 | $12,000.00 |
DisclosureSEC 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 |
| August 23, 2023 Filed Aug 25, 2023 21:15 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option (Right to Buy) · Derivative | 208,810 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC 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 | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 208,810 | $2.13 | $444,222.39 |
DisclosureSEC 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 | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 208,810 | $0.16 | $33,409.60 |
DisclosureSEC 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 |
| April 17, 2023 Filed Apr 18, 2023 22:00 UTC | SES AI Corp SES · Entity 2220 | GrantPerformance Vesting Restricted Stock Units · Derivative | 104,603 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 17, 2023 Filed Apr 18, 2023 22:00 UTC | SES AI Corp SES · Entity 2220 | GrantClass A Common Stock | 104,603 | $0.00 | $0.00 |
DisclosureSEC 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 |
| December 15, 2022 Filed Dec 16, 2022 21:15 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option · Derivative | 12,900 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001415889-22-012628 · form4-12162022_041201.xml · derivative · entry 6 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,676,486 Underlying: Class A Common Stock · 12,900 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 |
| December 15, 2022 Filed Dec 16, 2022 21:15 UTC | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 12,900 | $4.30 | $55,491.93 |
DisclosureSEC source: 0001415889-22-012628 · form4-12162022_041201.xml · nonDerivative · entry 4 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.30 to $4.33, 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 15, 2022 Filed Dec 16, 2022 21:15 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 12,900 | $0.16 | $2,064.00 |
DisclosureSEC source: 0001415889-22-012628 · form4-12162022_041201.xml · nonDerivative · entry 3 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,900 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 15, 2022 Filed Dec 16, 2022 21:15 UTC | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 70,469 | $4.18 | $294,447.67 |
DisclosureSEC source: 0001415889-22-012628 · form4-12162022_041201.xml · nonDerivative · entry 2 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.15 to $4.29, 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 14, 2022 Filed Dec 16, 2022 21:15 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option · Derivative | 70,469 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001415889-22-012628 · form4-12162022_041201.xml · derivative · entry 5 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,689,386 Underlying: Class A Common Stock · 70,469 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 |
| December 14, 2022 Filed Dec 16, 2022 21:15 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 70,469 | $0.16 | $11,275.04 |
DisclosureSEC source: 0001415889-22-012628 · form4-12162022_041201.xml · nonDerivative · entry 1 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,469 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 |
| November 18, 2022 Filed Nov 21, 2022 22:05 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option · Derivative | 1,847 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001415889-22-011641 · form4-11212022_051101.xml · derivative · entry 6 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,759,855 Underlying: Class A Common Stock · 1,847 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 |
| November 18, 2022 Filed Nov 21, 2022 22:05 UTC | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 1,847 | $4.91 | $9,061.38 |
DisclosureSEC source: 0001415889-22-011641 · form4-11212022_051101.xml · nonDerivative · entry 4 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.90 to $4.93, 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 |
| November 18, 2022 Filed Nov 21, 2022 22:05 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 1,847 | $0.16 | $295.52 |
DisclosureSEC source: 0001415889-22-011641 · form4-11212022_051101.xml · nonDerivative · entry 3 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,847 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 |
| November 17, 2022 Filed Nov 21, 2022 22:05 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option · Derivative | 82,750 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001415889-22-011641 · form4-11212022_051101.xml · derivative · entry 5 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,761,702 Underlying: Class A Common Stock · 82,750 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 |
| November 17, 2022 Filed Nov 21, 2022 22:05 UTC | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 82,750 | $4.97 | $411,557.13 |
DisclosureSEC source: 0001415889-22-011641 · form4-11212022_051101.xml · nonDerivative · entry 2 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.90 to $5.03, 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 |
| November 17, 2022 Filed Nov 21, 2022 22:05 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 82,750 | $0.16 | $13,240.00 |
DisclosureSEC source: 0001415889-22-011641 · form4-11212022_051101.xml · nonDerivative · entry 1 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,750 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 |
| August 16, 2022 Filed Aug 17, 2022 20:19 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option · Derivative | 128,942 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001415889-22-008772 · form4-08172022_010822.xml · derivative · entry 6 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,844,452 Underlying: Class A Common Stock · 128,942 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 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 |
| August 16, 2022 Filed Aug 17, 2022 20:19 UTC | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 128,942 | $5.02 | $647,662.77 |
DisclosureSEC source: 0001415889-22-008772 · form4-08172022_010822.xml · nonDerivative · entry 4 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 20:19 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 128,942 | $0.16 | $20,630.72 |
DisclosureSEC source: 0001415889-22-008772 · form4-08172022_010822.xml · nonDerivative · entry 3 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,942 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 |
| August 15, 2022 Filed Aug 17, 2022 20:19 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionStock Option · Derivative | 117,688 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001415889-22-008772 · form4-08172022_010822.xml · derivative · entry 5 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,973,394 Underlying: Class A Common Stock · 117,688 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. F2 · 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 |
| August 15, 2022 Filed Aug 17, 2022 20:19 UTC | SES AI Corp SES · Entity 2220 | SaleClass A Common Stock | 117,688 | $5.27 | $619,662.63 |
DisclosureSEC source: 0001415889-22-008772 · form4-08172022_010822.xml · nonDerivative · entry 2 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.2368 to $5.2884, 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 |
| August 15, 2022 Filed Aug 17, 2022 20:19 UTC | SES AI Corp SES · Entity 2220 | Exercise / conversionClass A Common Stock | 117,688 | $0.16 | $18,830.08 |
DisclosureSEC source: 0001415889-22-008772 · form4-08172022_010822.xml · nonDerivative · entry 1 Makharia Rohit · CIK 0001907018 · PRES. & CHIEF OP. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,688 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.