Form 4 for STEM STEM, INC.
Accepted 2021-12-02 00:00:00 ET · period of report 2021-11-30 · accession 0001758766-21-000212 · 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 | 2021-12-01+ | STEM | Daley Adam | Dir | S - Sale | $20.48 | -200.0K | 342.8K | -37% | -$4.10M |
| 2021-12-02 | 2021-11-30 | STEM | Daley Adam | Dir | J - Other | $0.00 | +13.9K | 101.2K | +16% | $0 | |
| I | 2021-12-02 | 2021-11-30 | STEM | Daley Adam | Dir | J - Other | $0.00 | +10.1K | 442.8K | +2% | $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 | 2021-12-02 | S | D | 100,000 | $19.82 | 242,776 | I | — | — | (F6) Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2021. (F7) Represents number of shares beneficially owned by Daley Revocable Trust after giving effect to sale pursuant to the reporting person's 10b5-1 trading plan. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-11-30 | J | A | 13,865 | $0.00 | 101,249 | D By Daley Revocable Trust | — | — | (F5) Represents number of shares directly and beneficially owned by the reporting person after giving effect to the Distribution. (F3) Held by Daley Revocable Trust, of which the reporting person is a trustee. |
| 3 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-11-30 | J | A | 10,051 | $0.00 | 442,776 | I By Daley Revocable Trust | — | — | (F2) Represents number of shares beneficially owned by Daley Revocable Trust after giving effect to the Distribution. (F3) Held by Daley Revocable Trust, of which the reporting person is a trustee. |
| 4 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-12-01 | S | D | 100,000 | $21.13 | 342,776 | I By Daley Revocable Trust | — | — | (F6) Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2021. (F7) Represents number of shares beneficially owned by Daley Revocable Trust after giving effect to sale pursuant to the reporting person's 10b5-1 trading plan. (F3) Held by Daley Revocable Trust, of which the reporting person is a trustee. |