Form 4 for STEM STEM, INC.
Accepted 2022-04-14 00:00:00 ET · period of report 2022-04-12 · accession 0001758766-22-000065 · 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 | 2022-04-14 | 2022-04-12 | STEM | Triplett Mark William | COO | F - Tax | $9.90 | -218.9K | 97.9K | -69% | -$2.17M |
| DM | 2022-04-14 | 2022-04-12 | STEM | Triplett Mark William | COO | M - OptEx | $2.68 | +451.2K | 333.8K | New | +$1.21M |
| DM | 2022-04-14 | 2022-04-12 | STEM | Triplett Mark William | COO | M - OptEx | $0.00 | -451.2K | 0 | -100% | $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 | 2022-04-12 | F | D | 144,032 | $9.92 | 189,730 | 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. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-04-12 | F | D | 883 | $9.92 | 98,099 | 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 | 2022-04-12 | F | D | 40,408 | $9.81 | 323,946 | 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 | 2022-04-12 | M | A | 174,624 | $2.27 | 364,354 | D | — | — | |
| 5 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-04-12 | M | A | 1,048 | $6.81 | 98,982 | D | — | — | |
| 6 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-04-12 | F | D | 33,545 | $9.92 | 97,934 | 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. |
| 7 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-04-12 | M | A | 39,843 | $6.81 | 131,479 | D | — | — | |
| 8 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-04-12 | M | A | 235,663 | $2.27 | 333,762 | D | — | — | |
| 9 | Derivative | Stock Option (Right to Buy) | 2022-04-12 | M | D | 235,663 | $0.00 | 174,624 | D | $2.27 · 2022-03-19 to 2029-01-30 | 235,663 Common Stock, Par Value $0.0001 Per Share | |
| 10 | Derivative | Stock Option (Right to Buy) | 2022-04-12 | M | D | 1,048 | $0.00 | 3,147 | D | $6.81 · — to 2030-12-03 | 1,048 Common Stock, Par Value $0.0001 Per Share | (F2) 25% of the shares underlying the option vest on the first anniversary date, and the remaining shares underlying the option vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. |
| 11 | Derivative | Stock Option (Right to Buy) | 2022-04-12 | M | D | 39,843 | $0.00 | 0 | D | $6.81 · 2020-12-03 to 2030-12-03 | 39,843 Common Stock, Par Value $0.0001 Per Share | |
| 12 | Derivative | Stock Option (Right to Buy) | 2022-04-12 | M | D | 174,624 | $0.00 | 0 | D | $2.27 · 2022-03-19 to 2029-01-30 | 174,624 Common Stock, Par Value $0.0001 Per Share |