Form 4 for STEM STEM, INC.
Accepted 2024-02-27 00:00:00 ET · period of report 2024-02-24 · accession 0001758766-24-000023 · 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 | 2024-02-27 | 2024-02-24 | STEM | Carrington John Eugene | CEO, Dir | M - OptEx | $0.00 | +34.7K | 152.4K | +30% | $0 |
| D | 2024-02-27 | 2024-02-27 | STEM | Carrington John Eugene | CEO, Dir | S - Sale+OE | $2.70 | -13.9K | 138.6K | -9% | -$37.4K |
| D | 2024-02-27 | 2024-02-24 | STEM | Carrington John Eugene | CEO, Dir | M - OptEx | $0.00 | -34.7K | 1.17M | -3% | $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 | 2024-02-24 | M | A | 34,737 | $0.00 | 152,425 | D | — | — | |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-02-27 | S | D | 13,863 | $2.70 | 138,562 | 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. |
| 3 | Derivative | Restricted Stock Unit | 2024-02-24 | M | D | 34,737 | $0.00 | 1,170,645 | D | $0.00 · — to — | 34,737 Common Stock, Par Value $0.0001 Per Share | (F2) On February 24, 2023, the reporting person was granted 105,264 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 24, 2024. |