Form 4 for STEM STEM, INC.
Accepted 2021-07-09 00:00:00 ET · period of report 2021-07-07 · accession 0001758766-21-000131 · 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 | 2021-07-09 | 2021-07-07 | STEM | BUZBY DAVID S | Dir | M - OptEx | $2.00 | +226.6K | 486.3K | +87% | +$452.6K |
| DM | 2021-07-09 | 2021-07-07 | STEM | BUZBY DAVID S | Dir | F - Tax | $34.11 | -13.3K | 666.6K | -2% | -$452.6K |
| DM | 2021-07-09 | 2021-07-07 | STEM | BUZBY DAVID S | Dir | M - OptEx | $0.00 | -226.6K | 189.7K | -54% | $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 | 2021-07-07 | M | A | 166,018 | $2.27 | 677,673 | D | — | — | |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-07-07 | F | D | 1,012 | $34.11 | 511,655 | D | — | — | |
| 3 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-07-07 | M | A | 27,596 | $1.25 | 512,667 | D | — | — | |
| 4 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-07-07 | M | A | 32,978 | $1.25 | 486,280 | D | — | — | |
| 5 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-07-07 | F | D | 1,209 | $34.11 | 485,071 | D | — | — | |
| 6 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-07-07 | F | D | 11,049 | $34.11 | 666,624 | D | — | — | |
| 7 | Derivative | Stock Option (Right to Buy) | 2021-07-07 | M | D | 32,978 | $0.00 | 217,330 | D | $1.25 · 2019-01-01 to 2025-07-20 | 32,978 Common Stock, Par Value $0.0001 Per Share | |
| 8 | Derivative | Stock Option (Right to Buy) | 2021-07-07 | M | D | 166,018 | $0.00 | 23,716 | D | $2.27 · 2019-01-01 to 2028-10-31 | 166,018 Common Stock, Par Value $0.0001 Per Share | (F3) These options will vest in equal monthly installments through January 1, 2022. (F2) These options vested 25% on January 1, 2019, and the remaining options vested in equal monthly installments thereafter. |
| 9 | Derivative | Stock Option (Right to Buy) | 2021-07-07 | M | D | 27,596 | $0.00 | 189,734 | D | $1.25 · 2019-10-28 to 2025-10-27 | 27,596 Common Stock, Par Value $0.0001 Per Share |