Form 4 for STEM STEM, INC.
Accepted 2024-03-05 00:00:00 ET · period of report 2024-03-01 · accession 0001758766-24-000033 · 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 | 2024-03-05 | 2024-03-01 | STEM | Laureles Saul R. | CLO | A - Grant | $0.00 | +82.5K | 180.6K | +84% | $0 |
| D | 2024-03-05 | 2024-03-04 | STEM | Laureles Saul R. | CLO | S - Sale+OE | $2.48 | -5,591 | 175.0K | -3% | -$13.9K |
| D | 2024-03-05 | 2024-03-01 | STEM | Laureles Saul R. | CLO | M - OptEx | $0.00 | +18.1K | 98.1K | +23% | $0 |
| D | 2024-03-05 | 2024-03-01 | STEM | Laureles Saul R. | CLO | M - OptEx | $0.00 | -18.1K | 113.6K | -14% | $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 | 2024-03-01 | A | A | 82,462 | $0.00 | 180,552 | D | — | — | (F1) Shares issued in connection with bonus earned under the Issuer's 2023 annual incentive plan based on attainment of corporate performance goals. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-03-04 | S | D | 5,591 | $2.48 | 174,961 | D | — | — | (F2) 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 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-03-01 | M | A | 18,087 | $0.00 | 98,090 | D | — | — | |
| 4 | Derivative | Restricted Stock Unit | 2024-03-01 | M | D | 18,087 | $0.00 | 113,607 | D | $0.00 · — to — | 18,087 Common Stock, Par Value $0.0001 Per Share | (F3) On March 1, 2022, the reporting person was granted 72,347 RSUs vesting in four equal annual installments beginning on March 1, 2023. |