# EDGAR Filing Document

**Accession Number:** 0001222726
**File Stem:** 0000899243-23-002786
**Filing Date:** 2023-1
**Character Count:** 10028
**Document Hash:** 3d4a818dd14bf2b06f12ac57c57ea32d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000899243-23-002786.hdr.sgml**: 20230126

**ACCESSION NUMBER**: 0000899243-23-002786

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230125

**FILED AS OF DATE**: 20230126

**DATE AS OF CHANGE**: 20230126

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** LEUSCHEN DAVID M
- **CENTRAL INDEX KEY:** 0001222726

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40284
- **FILM NUMBER:** 23559088

**MAIL ADDRESS:**
- **STREET 1:** C/O RIVERSTONE HOLDINGS
- **STREET 2:** 712 FIFTH AVENUE, 36TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** LAPEYRE PIERRE F JR
- **CENTRAL INDEX KEY:** 0001232151

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40284
- **FILM NUMBER:** 23559087

**MAIL ADDRESS:**
- **STREET 1:** C/O RIVERSTONE HOLDINGS
- **STREET 2:** 712 FIFTH AVENUE 36TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Solid Power, Inc.
- **CENTRAL INDEX KEY:** 0001844862
- **STANDARD INDUSTRIAL CLASSIFICATION:** MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
- **IRS NUMBER:** 861888095
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 486 S. PIERCE AVE., SUITE E
- **CITY:** LOUISVILLE
- **STATE:** CO
- **ZIP:** 80027
- **BUSINESS PHONE:** (303) 219-0720

**MAIL ADDRESS:**
- **STREET 1:** 486 S. PIERCE AVE., SUITE E
- **CITY:** LOUISVILLE
- **STATE:** CO
- **ZIP:** 80027

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Decarbonization Plus Acquisition Corp III
- **DATE OF NAME CHANGE:** 20210208

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] 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**<sup>*</sup><br>LEUSCHEN DAVID M<br><sub>(Last) (First) (Middle)</sub><br>C/O RIVERSTONE HOLDINGS LLC<br>712 FIFTH AVENUE, 36TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Solid Power, Inc. [ SLDP ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>LAPEYRE PIERRE F JR<br><sub>(Last) (First) (Middle)</sub><br>C/O RIVERSTONE HOLDINGS LLC<br>712 FIFTH AVENUE, 36TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Solid Power, Inc. [ SLDP ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, par value $0.0001 per share | 2023-01-26 |  | J<sup>(1)</sup> |  | 3651546 | D | <sup>(1)</sup> | 4738454 | I<sup>(2)(5)</sup> | By Decarbonization Plus Acquisition Sponsor III LLC |
| Common Stock, par value $0.0001 per share |  |  |  |  |  |  |  | 6798303 | I<sup>(3)(5)</sup> | By REL Batavia Partnership, LP |
| Common Stock, par value $0.0001 per share |  |  |  |  |  |  |  | 485112 | I<sup>(4)(5)</sup> | By Riverstone SP Partners, LLC |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Warrants (right to buy) | $11.50 | 2023-01-25 |  | S |  |  | 89866 | 2022-03-26 | 2026-12-08 | Common Stock, par value $0.0001 per share | 89866 | 0.66<sup>(6)</sup> | 7277487 | I | See Footnotes<sup>(2)(5)</sup> |
| Warrants (right to buy) | $11.50 | 2023-01-26 |  | S |  |  | 20528 | 2022-03-26 | 2026-12-08 | Common Stock, par value $0.0001 per share | 20528 | 0.67<sup>(7)</sup> | 7256959 | I | See Footnotes<sup>(2)(5)</sup> |

---

### Footnotes:

(1) On January 26, 2023, Decarbonization Plus Acquisition Sponsor III LLC ("DCRC Sponsor") distributed 3,651,546 shares of common stock, par value $0.0001 ("Common Stock"), of Solid Power, Inc. (the "Issuer") to its members pro rata.

(2) DCRC Sponsor is the record holder of these securities. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which controls DCRC Sponsor.

(3) REL Batavia Partnership, LP is the record holder of these securities. David M. Leuschen and Pierre F. Lapeyre, Jr. are the sole members of the ultimate general partner of REL Batavia Partnership, LP.

(4) Riverstone SP Partners, LLC is the record holder of these securities. David M. Leuschen and Pierre F. Lapeyre, Jr. are the managing directors of Riverstone Holdings LLC, which is the managing member of Riverstone SP Partners, LLC.

(5) Each of Mr. Leuschen and Mr. Lapeyre may be deemed to have or share beneficial ownership of the securities held directly by DCRC Sponsor, REL Batavia Partnership, LP and Riverstone SP Partners, LLC. Each such 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.

(6) The price reported in Column 8 of Table II is a weighted average price. The warrants were sold in multiple transactions at prices ranging from $0.65 to $0.75, inclusive. The reporting persons will provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, information regarding the number of warrants sold at each price within the range.

(7) The price reported in Column 8 of Table II is a weighted average price. The warrants were sold in multiple transactions at prices ranging from $0.65 to $0.67, inclusive. The reporting persons will provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, information regarding the number of warrants sold at each price within the range.

**Signature:** David M. Leuschen By: /s/ Peter Haskopoulos, Title: Attorney-in-Fact  
**Date:** 2023-01-26

**Signature:** Pierre F. Lapeyre, Jr. By: /s/ Peter Haskopoulos, Title: Attorney-in-Fact  
**Date:** 2023-01-26

### Remarks:

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.**