Form 4 for STEM STEM, INC.
Accepted 2022-08-11 00:00:00 ET · period of report 2022-08-10 · accession 0001758766-22-000144 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-08-11 | 2022-06-07 | STEM | Daley Adam | Dir | G - Gift | $0.00 | -20.0K | 86.8K | -19% | $0 | |
| MI | 2022-08-11 | 2022-08-10+ | STEM | Daley Adam | Dir | S - Sale | $14.92 | -150.0K | 92.8K | -62% | -$2.24M |
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 | 2022-06-07 | G | D | 20,000 | $0.00 | 86,773 | D | — | — | (F6) Represents a gift of 20,000 shares to a university foundation on June 7, 2022. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-08-10 | S | D | 75,000 | $14.79 | 167,776 | I By Daley Revocable Trust | — | — | (F1) Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2022. (F2) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.42 to $15.26. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F3) 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. (F4) Held by Daley Revocable Trust, of which the reporting person is a trustee. |
| 3 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-08-11 | S | D | 75,000 | $15.05 | 92,776 | I By Daley Revocable Trust | — | — | (F1) Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2022. (F5) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.69 to $15.25. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F3) 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. (F4) Held by Daley Revocable Trust, of which the reporting person is a trustee. |