Filing Details
- Accession Number:
- 0001758766-23-000029
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-03 17:15:12
- Reporting Period:
- 2023-03-01
- Accepted Time:
- 2023-03-03 17:15:12
- 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 | Acquisiton | 2023-03-01 | 16,747 | $0.00 | 58,157 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2023-03-01 | 6,877 | $8.10 | 51,280 | 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 | 2023-03-01 | 16,747 | $0.00 | 16,747 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 209,810 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | 107,456 | Indirect | By Trust |
Footnotes
- Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on March 1, 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.
- The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $8.10 to $8.115. 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.
- Shares held by trust for which the reporting person is a trustee.
- On March 1, 2022, the reporting person was granted 66,988 RSUs vesting in four equal annual installments beginning on March 1, 2023.
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