Form 4/A for STEM STEM, INC.
Accepted 2024-06-10 00:00:00 ET · period of report 2023-06-20 · accession 0001758766-24-000130 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| AI | 2024-06-10 | 2023-06-20 | STEM | BUZBY DAVID S | Dir | G - Gift | $0.00 | +20.5K | 641.2K | +3% | $0 |
| MA | 2024-06-10 | 2024-03-15+ | STEM | BUZBY DAVID S | Dir | P - Purchase | $1.83 | +96.3K | 62.5K | New | +$176.2K |
| A | 2024-06-10 | 2023-06-20 | STEM | BUZBY DAVID S | Dir | G - Gift | $0.00 | -20.5K | 0 | -100% | $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 | 2023-06-20 | G | A | 20,498 | $0.00 | 641,209 | I | — | — | (F1) On June 20, 2023, the reporting person transferred 20,498 shares of common stock to the 2016 David S. Buzby Revocable Trust (of which the reporting person is sole trustee) for no consideration. |
| 2 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-03-18 | P | A | 33,800 | $1.81 | 96,300 | D | — | — | (F4) The Form 4 filed on March 20, 2024 incorrectly reported that, following the reporting person's purchase of 33,800 shares of common stock on March 18, 2024, he directly owned 768,448 shares of common stock. In fact, as reported in this amendment, the reporting person directly owned 96,300 shares after such transaction. |
| 3 | Common | Common Stock, Par Value $0.0001 Per Share | 2024-03-15 | P | A | 62,500 | $1.84 | 62,500 | D | — | — | (F3) The Form 4 filed on March 18, 2024 incorrectly reported that, following the reporting person's purchase of 62,500 shares of common stock on March 15, 2024, he owned 734,648 shares of common stock. In fact, as reported in this amendment, the reporting person directly owned 62,500 shares after such transaction. |
| 4 | Common | Common Stock, Par Value $0.0001 Per Share | 2023-06-20 | G | D | 20,498 | $0.00 | 0 | D By the David S. Buzby Revocable Trust | — | — | (F1) On June 20, 2023, the reporting person transferred 20,498 shares of common stock to the 2016 David S. Buzby Revocable Trust (of which the reporting person is sole trustee) for no consideration. (F2) Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee. |