Form 4 for STEM STEM, INC.
Accepted 2021-08-27 00:00:00 ET · period of report 2021-08-25 · accession 0001758766-21-000163 · 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 | 2021-08-27 | 2021-08-25 | STEM | Carrington John Eugene | CEO, Dir | M - OptEx | $1.01 | +732.9K | 788.5K | +1,316% | +$737.5K |
| DM | 2021-08-27 | 2021-08-25 | STEM | Carrington John Eugene | CEO, Dir | F - Tax | $24.87 | -374.7K | 520.7K | -42% | -$9.32M |
| DM | 2021-08-27 | 2021-08-25 | STEM | Carrington John Eugene | CEO, Dir | M - OptEx | $24.87 | -732.9K | 3.47M | -17% | -$18.23M |
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 | 2021-08-25 | M | A | 118,302 | $0.97 | 326,402 | D | — | — | |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-08-25 | F | D | 57,410 | $24.87 | 268,992 | D | — | — | (F1) Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. |
| 3 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-08-25 | F | D | 49,509 | $24.87 | 566,224 | D | — | — | (F1) Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. |
| 4 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-08-25 | F | D | 267,813 | $24.87 | 520,733 | D | — | — | (F1) Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. |
| 5 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-08-25 | M | A | 95,000 | $1.25 | 615,733 | D | — | — | |
| 6 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-08-25 | M | A | 519,554 | $0.97 | 788,546 | D | — | — | |
| 7 | Derivative | Stock Option (Right to Buy) | 2021-08-25 | M | D | 118,302 | $24.87 | 3,986,279 | D | $0.97 · 2018-01-01 to 2025-02-07 | 118,302 Common Stock, Par Value $0.0001 Per Share | |
| 8 | Derivative | Stock Option (Right to Buy) | 2021-08-25 | M | D | 95,000 | $24.87 | 3,371,725 | D | $1.25 · 2018-10-28 to 2025-10-27 | 95,000 Common Stock, Par Value $0.0001 Per Share | |
| 9 | Derivative | Stock Option (Right to Buy) | 2021-08-25 | M | D | 519,554 | $24.87 | 3,466,725 | D | $0.97 · 2017-12-03 to 2025-02-07 | 519,554 Common Stock, Par Value $0.0001 Per Share |