Form 4 for STEM STEM, INC.
Accepted 2021-10-29 00:00:00 ET · period of report 2021-10-27 · accession 0001758766-21-000173 · 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 | 2021-10-29 | 2021-10-27 | STEM | Patel Prakesh | Chief Strategy Off | F - Tax | $0.00 | -6,769 | 173.2K | -4% | $0 |
| D | 2021-10-29 | 2021-10-27 | STEM | Patel Prakesh | Chief Strategy Off | A - Grant | $0.00 | +180.0K | 180.0K | New | $0 |
| DM | 2021-10-29 | 2021-10-27 | STEM | Patel Prakesh | Chief Strategy Off | M - OptEx | $9.43 | -180.0K | 824.8K | -18% | -$1.70M |
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 | 2021-10-27 | F | D | 6,769 | $0.00 | 173,231 | D | — | — | (F1) Represents shares that have been withheld by the Issuer to satisfy remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-10-27 | A | A | 180,000 | $0.00 | 180,000 | D | — | — | |
| 3 | Derivative | Stock Option (Right to Buy) | 2021-10-27 | M | D | 20,628 | $26.65 | 761,052 | D | $1.25 · 2019-01-01 to 2025-07-20 | 20,628 Common Stock, Par Value $0.0001 Per Share | |
| 4 | Derivative | Stock Option (Right to Buy) | 2021-10-27 | M | D | 43,073 | $26.65 | 781,680 | D | $0.97 · 2018-01-01 to 2025-02-07 | 43,073 Common Stock, Par Value $0.0001 Per Share | |
| 5 | Derivative | Stock Option (Right to Buy) | 2021-10-27 | M | D | 116,299 | $0.00 | 824,753 | D | $0.97 · 2018-01-01 to 2025-02-07 | 116,299 Common Stock, Par Value $0.0001 Per Share |