Form 4/A for STEM STEM, INC.
Accepted 2022-03-03 00:00:00 ET · period of report 2021-07-02 · accession 0001758766-22-000034 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DA | 2022-03-03 | 2021-07-02 | STEM | Laureles Saul R. | CLO | F - Tax | $0.00 | -4,620 | 14.1K | -25% | $0 |
| DA | 2022-03-03 | 2021-07-02 | STEM | Laureles Saul R. | CLO | A - Grant | $0.00 | +18.7K | 18.7K | New | $0 |
| DMA | 2022-03-03 | 2021-07-02 | STEM | Laureles Saul R. | CLO | A - Grant | $0.00 | +32.6K | 18.7K | New | $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 | 2021-07-02 | F | D | 4,620 | $0.00 | 14,125 | D | — | — | |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2021-07-02 | A | A | 18,745 | $0.00 | 18,745 | D | — | — | (F1) Pursuant to Stem, Inc. 2021 Equity Incentive Plan. |
| 3 | Derivative | Restricted Stock Unit | 2021-07-02 | A | A | 13,812 | $0.00 | 32,557 | D | — · — to — | 13,812 Common Stock, Par Value $0.0001 Per Share | (F2) Each restricted stock unit ("RSU") represents the contingent right to receive one (1) share of common stock, par value $0.0001 per share. (F4) The RSU award vests ratably over four years beginning April 28, 2021. |
| 4 | Derivative | Restricted Stock Unit | 2021-07-02 | A | A | 18,745 | $0.00 | 18,745 | D | — · — to — | 18,745 Common Stock, Par Value $0.0001 Per Share | (F2) Each restricted stock unit ("RSU") represents the contingent right to receive one (1) share of common stock, par value $0.0001 per share. (F3) The RSU award vests 100% on April 28, 2022. |