Form 4 for STEM STEM, INC.
Accepted 2021-08-17 00:00:00 ET · period of report 2021-08-13 · accession 0001758766-21-000151 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2021-08-17 | 2021-08-13 | STEM | MORGAN MICHAEL C | Dir | J - Other | $0.00 | -7.89M | 1.62M | -83% | $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 | 2021-08-13 | J | A | 952,766 | $0.00 | 1,086,771 | I Held by Portcullis Investments, LP | — | — | (F2) Shares distributed in the Distribution to Portcullis Investments, LP. (F3) The reporting person serves as Manager of the general partner, Portcullis G.P., LLC, for, and he and his spouse indirectly hold interests in, Portcullis Investments, L.P. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-08-13 | J | D | 9,375,621 | $0.00 | 134,005 | I Held by Star Peak Sponsor LLC | — | — | (F1) Securities held directly by Star Peak Sponsor LLC (the "Sponsor"). Gives effect to the pro rata distribution from the Sponsor and its affiliates to members of the Sponsor, including the reporting person, for no additional consideration (the "Distribution"). As a result of the Distribution to such other members of Sponsor, the reporting person no longer has indirect beneficial ownership of 9,375,621 shares previously reported as held directly by Sponsor, and the reporting person beneficially owns no shares through the Sponsor except as reported herein. |
| 3 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-08-13 | J | A | 532,130 | $0.00 | 1,618,901 | I Held by Trust | — | — | (F4) Shares distributed in the Distribution to trust. (F5) Held by a trust of which the reporting person is a trustee. |