Filing Details
- Accession Number:
- 0001758766-23-000022
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-02-28 17:22:34
- Reporting Period:
- 2023-01-18
- Accepted Time:
- 2023-02-28 17:22:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1900919 | Rahul Shukla | 100 California Street 14Th Floor San Francisco CA 94111 | Chief Accounting 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 | 2023-02-21 | 8,000 | $0.00 | 8,000 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2023-02-21 | 4,193 | $8.23 | 3,807 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | Restricted Stock Unit | Disposition | 2023-01-18 | 8,000 | $0.00 | 8,000 | $0.00 |
| Common Stock, Par Value $0.0001 Per Share | Restricted Stock Unit | Acquisiton | 2023-02-23 | 60,459 | $0.00 | 60,459 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 24,000 | No | 4 | M | Direct | ||
| 84,459 | No | 4 | A | Direct |
Footnotes
- Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on February 9, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
- Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs.
- On February 9, 2022, the reporting person was granted 32,000 RSUs vesting in four equal annual installments beginning on January 18, 2023.
- Due to an error, the reporting person's February 9, 2022 RSU grant was previously understated by 14,624 RSUs.
- Each RSU represents the contingent right to receive one (1) share of common stock.
- The RSU award vests in three equal annual installments beginning on February 23, 2024.
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