Form 4 for STEM STEM, INC.
Accepted 2024-03-05 00:00:00 ET · period of report 2024-03-01 · accession 0001758766-24-000041 · 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 | 2024-03-04 | STEM | Tappin Matthew | Pres, Asset Management | S - Sale+OE | $2.48 | -5,724 | 70.6K | -7% | -$14.2K |
| D | 2024-03-05 | 2024-03-01 | STEM | Tappin Matthew | Pres, Asset Management | M - OptEx | $0.00 | +13.4K | 24.8K | +117% | $0 |
| D | 2024-03-05 | 2024-03-01 | STEM | Tappin Matthew | Pres, Asset Management | A - Grant | $0.00 | +51.5K | 76.3K | +208% | $0 |
| D | 2024-03-05 | 2024-03-01 | STEM | Tappin Matthew | Pres, Asset Management | M - OptEx | $0.00 | -13.4K | 81.7K | -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 | 2024-03-04 | S | D | 5,724 | $2.48 | 70,624 | 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. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-03-01 | M | A | 13,398 | $0.00 | 24,809 | D | — | — | |
| 3 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-03-01 | A | A | 51,539 | $0.00 | 76,348 | D | — | — | (F1) Shares issued in connection with bonus earned under the Issuer's 2023 annual incentive plan based on attainment of corporate performance goals. |
| 4 | Derivative | Restricted Stock Unit | 2024-03-01 | M | D | 13,398 | $0.00 | 81,714 | D | $0.00 · — to — | 13,398 Common Stock, Par Value $0.0001 Per Share | (F3) On March 1, 2022, the reporting person was granted 53,590 RSUs vesting in four equal annual installments beginning on March 1, 2023. |