Form 4 for STEM STEM, INC.
Accepted 2024-04-30 00:00:00 ET · period of report 2024-04-28 · accession 0001758766-24-000082 · 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 | Carrington John Eugene | CEO, Dir | M - OptEx | $0.00 | +438.4K | 700.8K | +167% | $0 |
| DM | 2024-04-30 | 2024-04-28 | STEM | Carrington John Eugene | CEO, Dir | M - OptEx | $0.00 | -438.4K | 705.4K | -38% | $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 | 428,572 | $0.00 | 690,890 | D | — | — | |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-04-28 | M | A | 9,866 | $0.00 | 700,756 | D | — | — | |
| 3 | Derivative | Restricted Stock Unit | 2024-04-28 | M | D | 428,572 | $0.00 | 715,278 | D | $0.00 · — to — | 428,572 Common Stock, Par Value $0.0001 Per Share | (F1) On July 2, 2021, the reporting person was granted 1,000,000 RSUs vesting as follows: 3/7th (428,572 RSUs) vesting on April 28, 2024, and 1/7th (142,857 RSUs) vesting on each anniversary thereafter. |
| 4 | Derivative | Restricted Stock Unit | 2024-04-28 | M | D | 9,866 | $0.00 | 705,412 | D | $0.00 · — to — | 9,866 Common Stock, Par Value $0.0001 Per Share | (F2) On July 2, 2021, the reporting person was granted 39,463 RSUs vesting in four equal annual installments beginning on April 28, 2022. |