Form 4 for STEM STEM, INC.
Accepted 2023-05-03 00:00:00 ET · period of report 2023-04-28 · accession 0001758766-23-000071 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-05-03 | 2023-04-28 | STEM | Patel Prakesh | Chief Strategy Off | M - OptEx | $0.00 | +3,453 | 68.7K | +5% | $0 |
| D | 2023-05-03 | 2023-05-01 | STEM | Patel Prakesh | Chief Strategy Off | S - Sale+OE | $4.12 | -1,260 | 67.5K | -2% | -$5,191 |
| D | 2023-05-03 | 2023-04-28 | STEM | Patel Prakesh | Chief Strategy Off | M - OptEx | $0.00 | -3,453 | 222.1K | -2% | $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 | 2023-04-28 | M | A | 3,453 | $0.00 | 68,727 | D | — | — | (F1) Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") granted on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2023-05-01 | S | D | 1,260 | $4.12 | 67,467 | D | — | — | (F2) Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs. |
| 3 | Derivative | Restricted Stock Unit | 2023-04-28 | M | D | 3,453 | $0.00 | 222,147 | D | — · — to — | 3,453 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") granted 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 four equal annual installments beginning on April 28, 2022. |