Form 4 for STEM STEM, INC.
Accepted 2025-05-06 00:00:00 ET · period of report 2024-10-10 · accession 0000950170-25-064859 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2025-05-06 | 2025-01-23+ | STEM | Shukla Rahul | CAO | S - Sale+OE | $0.5192 | -44.6K | 15.4K | -74% | -$23.2K |
| DM | 2025-05-06 | 2025-01-22+ | STEM | Shukla Rahul | CAO | M - OptEx | $0.00 | +44.6K | 8,000 | New | $0 |
| DM | 2025-05-06 | 2025-01-22+ | STEM | Shukla Rahul | CAO | M - OptEx | $0.00 | -44.6K | 176.9K | -20% | $0 |
| D | 2025-05-06 | 2024-10-10 | STEM | Shukla Rahul | CAO | A - Grant | $0.00 | +115.0K | 221.5K | +108% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, Par Value $0.0001 Per Share | 2025-01-23 | S | D | 3,534 | $0.65 | 4,466 | D | — | — | |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2025-02-24 | M | A | 19,951 | $0.00 | 24,417 | D | — | — | |
| 3 | Common | Common Stock, Par Value $0.0001 Per Share | 2025-03-11 | M | A | 16,667 | $0.00 | 32,036 | D | — | — | |
| 4 | Common | Common Stock, Par Value $0.0001 Per Share | 2025-03-12 | S | D | 7,469 | $0.4 | 24,567 | D | — | — | |
| 5 | Common | Common Stock, Par Value $0.0001 Per Share | 2025-05-02 | S | D | 24,567 | $0.54 | 0 | D | — | — | (F2) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $0.540 to $0.543. The reporting person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| 6 | Common | Common Stock, Par Value $0.0001 Per Share | 2025-01-22 | M | A | 8,000 | $0.00 | 8,000 | D | — | — | |
| 7 | Common | Common Stock, Par Value $0.0001 Per Share | 2025-02-25 | S | D | 9,048 | $0.51 | 15,369 | D | — | — | |
| 8 | Derivative | Restricted Stock Unit | 2025-01-22 | M | D | 8,000 | $0.00 | 213,508 | D | $0.00 · — to — | 8,000 Common Stock, Par Value $0.0001 Per Share | (F4) On February 9, 2022, the reporting person was granted 32,000 RSUs vesting in four annual installments beginning January 2023. |
| 9 | Derivative | Restricted Stock Unit | 2025-02-24 | M | D | 19,951 | $0.00 | 193,557 | D | $0.00 · — to — | 19,951 Common Stock, Par Value $0.0001 Per Share | (F5) On February 23, 2023, the reporting person was granted 60,459 RSUs vesting in three annual installments beginning February 2024. |
| 10 | Derivative | Restricted Stock Unit | 2025-03-11 | M | D | 16,667 | $0.00 | 176,890 | D | $0.00 · — to — | 16,667 Common Stock, Par Value $0.0001 Per Share | (F6) On May 28, 2024, the reporting person was granted 50,000 RSUs vesting in three annual installments beginning March 2025. |
| 11 | Derivative | Restricted Stock Unit | 2024-10-10 | A | A | 115,000 | $0.00 | 221,508 | D | $0.00 · — to — | 115,000 Common Stock, Par Value $0.0001 Per Share | (F3) On October 10, 2024, the reporting person was granted 115,000 RSUs vesting in October 2025. |