Form 4 for STEM STEM, INC.
Accepted 2024-02-26 00:00:00 ET · period of report 2024-02-23 · accession 0001758766-24-000022 · 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 | 2024-02-26 | 2024-02-26 | STEM | Shukla Rahul | CAO | S - Sale+OE | $2.65 | -8,244 | 20.2K | -29% | -$21.8K |
| D | 2024-02-26 | 2024-02-23 | STEM | Shukla Rahul | CAO | M - OptEx | $0.00 | +20.0K | 28.4K | +235% | $0 |
| D | 2024-02-26 | 2024-02-23 | STEM | Shukla Rahul | CAO | M - OptEx | $0.00 | -20.0K | 56.5K | -26% | $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 | 2024-02-26 | S | D | 8,244 | $2.65 | 20,204 | 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 | 2024-02-23 | M | A | 19,951 | $0.00 | 28,448 | D | — | — | |
| 3 | Derivative | Restricted Stock Unit | 2024-02-23 | M | D | 19,951 | $0.00 | 56,508 | D | $0.00 · — to — | 19,951 Common Stock, Par Value $0.0001 Per Share | (F2) On February 23, 2023, the reporting person was granted 60,459 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 23, 2024. |