Form 4 for STEM STEM, INC.
Accepted 2024-04-30 00:00:00 ET · period of report 2024-04-28 · accession 0001758766-24-000080 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2024-04-30 | 2024-04-28 | STEM | Russo Alan | Chief Revenue Off | M - OptEx | $0.00 | +69.3K | 232.8K | +42% | $0 |
| D | 2024-04-30 | 2024-04-30 | STEM | Russo Alan | Chief Revenue Off | S - Sale+OE | $1.87 | -24.1K | 212.9K | -10% | -$45.1K |
| DM | 2024-04-30 | 2024-04-28 | STEM | Russo Alan | Chief Revenue Off | M - OptEx | $0.00 | -69.3K | 109.0K | -39% | $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 | 2024-04-28 | M | A | 4,254 | $0.00 | 237,052 | D | — | — | |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-04-30 | S | D | 24,142 | $1.87 | 212,910 | 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 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-04-28 | M | A | 65,000 | $0.00 | 232,798 | D | — | — | |
| 4 | Derivative | Restricted Stock Unit | 2024-04-28 | M | D | 4,254 | $0.00 | 104,749 | D | $0.00 · — to — | 4,254 Common Stock, Par Value $0.0001 Per Share | (F3) On July 2, 2021, the reporting person was granted 17,018 RSUs vesting in four equal annual installments beginning on April 28, 2022. |
| 5 | Derivative | Restricted Stock Unit | 2024-04-28 | M | D | 65,000 | $0.00 | 109,003 | D | $0.00 · — to — | 65,000 Common Stock, Par Value $0.0001 Per Share | (F2) On July 2, 2021, the reporting person was granted 65,000 RSUs vesting 100% on April 28, 2024. |