Filing Details
- Accession Number:
- 0001758766-22-000144
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-08-11 20:42:18
- Reporting Period:
- 2022-08-10
- Accepted Time:
- 2022-08-11 20:42:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1821227 | Adam Daley | 100 California Street 14Th Floor San Francisco CA 94111 | Yes | No | 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 | Disposition | 2022-08-10 | 75,000 | $14.79 | 167,776 | No | 4 | S | Indirect | By Daley Revocable Trust |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2022-08-11 | 75,000 | $15.05 | 92,776 | No | 4 | S | Indirect | By Daley Revocable Trust |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2022-06-07 | 20,000 | $0.00 | 86,773 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Daley Revocable Trust |
| No | 4 | S | Indirect | By Daley Revocable Trust |
| No | 4 | G | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | 246,251 | Indirect | By Daley Investment Trust |
Footnotes
- Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2022.
- The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.42 to $15.26. 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.
- Represents number of shares beneficially owned by Daley Revocable Trust after giving effect to sale pursuant to the reporting person's 10b5-1 trading plan.
- Held by Daley Revocable Trust, of which the reporting person is a trustee.
- The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.69 to $15.25. 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.
- Represents a gift of 20,000 shares to a university foundation on June 7, 2022.
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