Form 4 for STEM STEM, INC.
Accepted 2025-11-12 00:00:00 ET · period of report 2025-11-07 · accession 0001672864-25-000007 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2025-11-12 | 2025-11-10 | STEM | Laureles Saul R. | CLO | F - Tax | $18.27 | -3,379 | 23.6K | -13% | -$61.7K |
| D | 2025-11-12 | 2025-11-07 | STEM | Laureles Saul R. | CLO | M - OptEx | — | +13.8K | 27.0K | +104% | — |
| D | 2025-11-12 | 2025-11-07 | STEM | Laureles Saul R. | CLO | M - OptEx | $0.00 | -13.8K | 0 | -100% | $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 | 2025-11-10 | F | D | 3,379 | $18.27 | 23,610 | D | — | — | |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2025-11-07 | M | A | 13,750 | — | 26,989 | D | — | — | (F1) Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis. |
| 3 | Derivative | Restricted Stock Unit | 2025-11-07 | M | D | 13,750 | $0.00 | 0 | D | — · — to — | 13,750 Common Stock, Par Value $0.0001 Per Share | (F1) Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis. (F3) On November 1, 2024 the reporting person was granted 13,750 RSUs, vesting 100% on November 7, 2025. |