Form 4 for STEM STEM, INC.
Accepted 2022-05-02 00:00:00 ET · period of report 2022-04-28 · accession 0001758766-22-000086 · 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 | 2022-05-02 | 2022-04-28 | STEM | Laureles Saul R. | CLO | M - OptEx | $0.00 | +22.2K | 36.3K | +157% | $0 |
| DM | 2022-05-02 | 2022-04-28 | STEM | Laureles Saul R. | CLO | M - OptEx | $0.00 | -18.7K | 82.7K | -18% | $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 | 2022-04-28 | M | A | 18,745 | $0.00 | 32,870 | D | — | — | (F1) Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-04-28 | M | A | 3,453 | $0.00 | 36,323 | D | — | — | (F1) Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. |
| 3 | Derivative | Restricted Stock Unit | 2022-04-28 | M | D | 18,745 | $0.00 | 86,159 | D | — · — to — | 18,745 Common Stock, Par Value $0.0001 Per Share | (F1) Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. (F2) On July 2, 2021, the reporting person was granted 18,745 RSUs that vested 100% on April 28, 2022. |
| 4 | Derivative | Restricted Stock Unit | 2022-04-28 | M | D | — | $0.00 | 82,706 | D | — · — to — | 0 Common Stock, Par Value $0.0001 Per Share | (F1) Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. (F3) On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in equal annual installments over four years beginning April 28, 2021. |