Form 4/A for STEM STEM, INC.
Accepted 2022-11-17 00:00:00 ET · period of report 2022-11-14 · accession 0001758766-22-000189 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MAI | 2022-11-17 | 2022-11-14+ | STEM | Johnson larsh | CTO | S - Sale | $13.94 | -25.0K | 120.0K | -17% | -$348.5K |
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 | 2022-11-15 | S | D | 12,500 | $14.42 | 107,456 | I By Trust | — | — | (F4) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.07 to $14.81. 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 September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee. (F3) Shares held by trust for which the Reporting Person is a trustee. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2022-11-14 | S | D | 12,500 | $13.46 | 119,956 | I By Trust | — | — | (F1) The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.35 to $13.51. 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 September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee. (F3) Shares held by trust for which the Reporting Person is a trustee. |