Filing Details
- Accession Number:
- 0001758766-22-000189
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2022-11-17 17:21:01
- Reporting Period:
- 2022-11-14
- Accepted Time:
- 2022-11-17 17:21:01
- Original Submission Date:
- 2022-11-16
- 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 |
|---|---|---|---|---|---|---|---|
| 1864717 | Larsh Johnson | 100 California Street 14Th Floor San Francisco CA 94111 | Chief Technology 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 | Disposition | 2022-11-14 | 12,500 | $13.46 | 119,956 | No | 4 | S | Indirect | By Trust |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2022-11-15 | 12,500 | $14.42 | 107,456 | No | 4 | S | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Trust |
| No | 4 | S | Indirect | By Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | 41,410 | Direct |
Footnotes
- The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.35 to $13.51. 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.
- Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee.
- Shares held by trust for 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 $14.07 to $14.81. 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.
- Due to an error, the Reporting Person's direct holdings were previously reported as indirect holdings, and overstated by 288 shares.
Billionaire Hedge Funds
