Form 4 for STEM STEM, INC.
Accepted 2024-01-03 00:00:00 ET · period of report 2023-12-31 · accession 0001758766-24-000002 · 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 | 2024-01-03 | 2023-12-31 | STEM | Tappin Matthew | Pres, Asset Management | M - OptEx | $0.00 | +14.3K | 14.3K | New | $0 |
| D | 2024-01-03 | 2024-01-03 | STEM | Tappin Matthew | Pres, Asset Management | S - Sale+OE | $3.56 | -5,207 | 9,111 | -36% | -$18.5K |
| D | 2024-01-03 | 2023-12-31 | STEM | Tappin Matthew | Pres, Asset Management | M - OptEx | $0.00 | -14.3K | 119.4K | -11% | $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 | 2023-12-31 | M | A | 14,318 | $0.00 | 14,318 | D | — | — | (F1) Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") that were issued to the reporting person on July 13, 2023 under the Stem, Inc. 2021 Equity Incentive Plan. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-01-03 | S | D | 5,207 | $3.56 | 9,111 | D | — | — | (F2) Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs. Such sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
| 3 | Derivative | Restricted Stock Unit | 2023-12-31 | M | D | 14,318 | $0.00 | 119,427 | D | — · — to — | 14,318 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") that were issued to the reporting person on July 13, 2023 under the Stem, Inc. 2021 Equity Incentive Plan. (F3) On July 13, 2023, the reporting person was granted 14,318 RSUs vesting 100% on December 31, 2023. |