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  4. [Form 4] Solid Power, Inc. Insider Trading Activity

Solid Power (SLDP) director Lesa Roe sells shares, receives RSU grant

Filing Impact
(Moderate)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Solid Power, Inc. director Lesa B. Roe reported both a sale of shares and an equity grant. Roe sold 39,207 shares of common stock at $2.66 per share in an open-market transaction, executed under a Rule 10b5-1 trading plan designed to cover tax liabilities from vesting restricted stock units.

On the same date, Roe received a grant of 44,133 restricted stock units, each representing one share of common stock upon vesting. After these transactions, Roe directly held 283,182 shares. The restricted stock units vest on the earlier of the first anniversary of the grant date or the day before Solid Power’s next annual stockholder meeting, subject to continued service.

Positive

  • None.

Negative

  • None.
Insider Roe Lesa B
Role null
Sold 39,207 shs ($104K)
Type Security Shares Price Value
Grant/Award Common Stock 44,133 $0.00 --
Sale Common Stock 39,207 $2.66 $104K
Holdings After Transaction: Common Stock — 283,182 shares (Direct, null)
Footnotes (1)
  1. Represents restricted stock units, which upon vesting of the unit, represent the right to receive one share of the issuer's common stock. The restricted stock units vest upon the earlier of: (i) the first anniversary of the grant date or (ii) the day before the issuer's next annual meeting of stockholders following the grant date, in each case, subject to the reporting person continuing to be a service provider (as defined in the Solid Power, Inc. 2021 Equity Incentive Plan) through such vesting date. This sale was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 23, 2025 (the "10b5-1 Plan"). The 10b5-1 Plan was established to cover the reporting person's tax liability arising from vesting of restricted stock units.
Shares sold 39,207 shares Open-market sale of common stock
Sale price $2.66 per share Price for sold common shares
RSU grant size 44,133 units Restricted stock units awarded
Post-transaction holdings 283,182 shares Common stock held directly after transactions
Net shares sold 39,207 shares Net sell direction from transaction summary
restricted stock units financial
"Represents restricted stock units, which upon vesting of the unit, represent the right to receive one share"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Rule 10b5-1 trading plan financial
"This sale was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person"
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
Solid Power, Inc. 2021 Equity Incentive Plan financial
"subject to the reporting person continuing to be a service provider in the Solid Power, Inc. 2021 Equity Incentive Plan"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Roe Lesa B
(Last)(First)(Middle)
C/O SOLID POWER, INC.
486 S PIERCE AVE, SUITE E
(Street)
LOUISVILLE COLORADO 80027
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Solid Power, Inc. [ SLDP ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/20/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock05/20/2026A44,133(1)A$0283,182D
Common Stock05/20/2026S39,207(2)D$2.66243,975D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Represents restricted stock units, which upon vesting of the unit, represent the right to receive one share of the issuer's common stock. The restricted stock units vest upon the earlier of: (i) the first anniversary of the grant date or (ii) the day before the issuer's next annual meeting of stockholders following the grant date, in each case, subject to the reporting person continuing to be a service provider (as defined in the Solid Power, Inc. 2021 Equity Incentive Plan) through such vesting date.
2. This sale was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 23, 2025 (the "10b5-1 Plan"). The 10b5-1 Plan was established to cover the reporting person's tax liability arising from vesting of restricted stock units.
/s/ Kristen Gould, attorney-in-fact on behalf of Lesa B. Roe05/21/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Solid Power (SLDP) director Lesa B. Roe report?

Lesa B. Roe reported a same-day sale and grant. She sold 39,207 shares of Solid Power common stock at $2.66 per share and received 44,133 restricted stock units, which convert into common shares upon vesting subject to continued service conditions.

How many Solid Power (SLDP) shares did Lesa B. Roe sell and at what price?

Roe sold 39,207 shares of Solid Power common stock at $2.66 per share. This open-market sale was executed under a Rule 10b5-1 trading plan that was established specifically to address her tax obligations from vesting restricted stock units.

What equity award did Lesa B. Roe receive from Solid Power (SLDP)?

Roe received a grant of 44,133 restricted stock units from Solid Power. Each restricted stock unit represents the right to receive one share of common stock upon vesting, linking her compensation to future company performance and continued service with the company.

When do Lesa B. Roe’s restricted stock units in Solid Power (SLDP) vest?

The restricted stock units vest on the earlier of the first anniversary of the grant date or the day before Solid Power’s next annual stockholder meeting. Vesting also requires Roe to remain a service provider under the 2021 Equity Incentive Plan through that date.

How many Solid Power (SLDP) shares does Lesa B. Roe hold after these transactions?

After the reported transactions, Roe directly holds 283,182 shares of Solid Power common stock. This figure reflects both the 39,207-share sale and the 44,133-share grant recorded in the Form 4, giving investors context on her ongoing equity stake.

What is the purpose of Lesa B. Roe’s Rule 10b5-1 trading plan with Solid Power (SLDP)?

The Rule 10b5-1 trading plan was established to manage Roe’s tax liability from vesting restricted stock units. It pre-schedules sales like the 39,207-share transaction, helping separate routine tax-related portfolio adjustments from discretionary stock sales decisions.