Form 4 for STEM STEM, INC.
Accepted 2024-02-20 00:00:00 ET · period of report 2024-02-15 · accession 0001758766-24-000013 · 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 | 2024-02-20 | 2024-02-16 | STEM | Tappin Matthew | Pres, Asset Management | S - Sale+OE | $3.17 | -10.6K | 18.3K | -37% | -$33.6K |
| D | 2024-02-20 | 2024-02-15 | STEM | Tappin Matthew | Pres, Asset Management | M - OptEx | $0.00 | +24.3K | 28.9K | +534% | $0 |
| D | 2024-02-20 | 2024-02-15 | STEM | Tappin Matthew | Pres, Asset Management | A - Grant | $0.00 | +45.0K | 45.0K | New | $0 |
| D | 2024-02-20 | 2024-02-15 | STEM | Tappin Matthew | Pres, Asset Management | M - OptEx | $0.00 | -24.3K | 95.1K | -20% | $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 | 2024-02-16 | S | D | 10,602 | $3.17 | 18,268 | D | — | — | (F1) Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-02-15 | M | A | 24,315 | $0.00 | 28,870 | D | — | — | |
| 3 | Derivative | Stock Option (Right to Buy) | 2024-02-15 | A | A | 45,024 | $0.00 | 45,024 | D | $3.37 · — to 2034-02-15 | 45,024 Common Stock, Par Value $0.0001 Per Share | (F3) The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025. |
| 4 | Derivative | Restricted Stock Unit | 2024-02-15 | M | D | 24,315 | $0.00 | 95,112 | D | $0.00 · — to — | 24,315 Common Stock, Par Value $0.0001 Per Share | (F2) On February 15, 2023, the reporting person was granted 73,684 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. |