Form 4 for STEM STEM, INC.
Accepted 2022-08-19 00:00:00 ET · period of report 2022-08-17 · accession 0001758766-22-000152 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2022-08-19 | 2022-08-17 | STEM | BUZBY DAVID S | Dir | S - Sale | $15.51 | -67.0K | 608.7K | -10% | -$1.04M |
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 | 2022-08-17 | S | D | 67,000 | $15.51 | 608,711 | I By the David S. Buzby Revocable Trust | — | — | (F1) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.50 to $15.52. 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. (F2) Also reflects shares previously disclosed as directly owned by the Reporting Person. In March 2022, the Reporting person transferred 672,148 shares of common stock to the trust, of which the Reporting Person is the sole trustee. As a result, the Reporting Person does not currently beneficially own any common stock directly. (F3) Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee. |