Form 4 for STEM STEM, INC.
Accepted 2026-03-02 00:00:00 ET · period of report 2026-02-26 · accession 0001672864-26-000006 · 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 | 2026-03-02 | 2026-03-01 | STEM | Laureles Saul R. | CLO | M - OptEx | — | +904 | 25.8K | +4% | — |
| DM | 2026-03-02 | 2026-02-26 | STEM | Laureles Saul R. | CLO | A - Grant | $0.00 | +30.0K | 18.0K | New | $0 |
| D | 2026-03-02 | 2026-03-01 | STEM | Laureles Saul R. | CLO | M - OptEx | $0.00 | -904 | 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 | 2026-03-01 | M | A | 904 | — | 25,768 | D | — | — | (F1) Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis. |
| 2 | Derivative | Performance Stock Unit | 2026-02-26 | A | A | 12,000 | $0.00 | 12,000 | D | — · — to — | 12,000 Common Stock, Par Value $0.0001 Per Share | (F2) Each restricted stock unit ("RSU") and performance stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock. (F4) On February 26, 2026, the Reporting Person was granted 12,000 PSUs, a portion of which vests, if the volume-weighted average price of the Issuer's common stock for any consecutive sixty (60) trading-day period equals or exceeds a stock price target. |
| 3 | Derivative | Restricted Stock Unit | 2026-03-01 | M | D | 904 | $0.00 | 0 | D | — · — to — | 904 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. (F5) On March 1, 2022, the reporting person was granted 3,617 RSUs vesting in four near equal annual installments, the fourth of which vested on March 1, 2026. |
| 4 | Derivative | Restricted Stock Unit | 2026-02-26 | A | A | 18,000 | $0.00 | 18,000 | D | — · — to — | 18,000 Common Stock, Par Value $0.0001 Per Share | (F2) Each restricted stock unit ("RSU") and performance stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock. (F3) On February 26, 2026, the Reporting Person was granted 18,000 RSUs vesting in three nearly equal annual installments (33%, 33%, 34%), beginning on March 7, 2027. |