Filing Details
- Accession Number:
- 0001864029-22-000006
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-08-10 21:52:57
- Reporting Period:
- 2022-08-09
- Accepted Time:
- 2022-08-10 21:52:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1758766 | Stem Inc. | STEM | Miscellaneous Electrical Machinery, Equipment & Supplies (3690) | 264466193 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1864029 | Alan Russo | 100 California Street 14Th Floor San Francisco CA 94111 | Chief Revenue Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2022-08-09 | 31,766 | $6.81 | 218,001 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2022-08-09 | 81,803 | $2.27 | 299,804 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2022-08-09 | 46,641 | $14.70 | 253,163 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2022-08-09 | 113,569 | $14.70 | 139,594 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | Stock Option (Right to Buy) | Disposition | 2022-08-09 | 31,766 | $0.00 | 31,766 | $6.81 |
| Common Stock, Par Value $0.0001 Per Share | Stock Option (Right to Buy) | Disposition | 2022-08-09 | 81,803 | $0.00 | 81,803 | $2.27 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1 | 2020-12-03 | 2030-12-02 | No | 4 | M | Direct |
| 0 | 2022-01-30 | 2029-01-30 | No | 4 | M | Direct |
Footnotes
- The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.65 to $14.73. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Billionaire Hedge Funds
