Form 4 for STEM STEM, INC.
Accepted 2021-12-02 00:00:00 ET · period of report 2021-11-30 · accession 0001758766-21-000210 · 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 | 2021-12-02 | 2021-11-30 | STEM | MORGAN MICHAEL C | Dir | J - Other | $0.00 | +161.2K | 542.2K | +42% | $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 | 2021-11-30 | J | A | 151,171 | $0.00 | 1,103,937 | I Held by Portcullis Investments, LP | — | — | (F1) Gives effect to the pro rata distribution of shares of Issuer common stock from Star Peak Sponsor LLC (the "Sponsor") and its affiliates to members of the Sponsor, for no additional consideration (the "Distribution"). The reported shares were distributed in the Distribution to Portcullis Investments, LP. 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. (F2) Represents total number of shares beneficially owned by Portcullis Investments, LP after giving effect to the Distribution. (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 | 2021-11-30 | J | A | 10,051 | $0.00 | 542,181 | I Held by Trust | — | — | (F4) Shares distributed in the Distribution to Trust. (F5) Represents total number of shares beneficially owned by Trust after giving effect to the Distribution. (F6) Held by a trust of which the reporting person is a trustee. |