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Home > Insider Trading > Filing (0001758766-23-000039)

Filing Details

Accession Number:: 0001758766-23-000039
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-03-13 16:45:51
Reporting Period:: 2023-03-09

Accepted Time:: 2023-03-13 16:45:51
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
1916675	Robert Schaefer	100 California Street 14Th Fl. San Francisco CA 94111	President, Transformational	No	Yes	No	No

Reported Non-Derivative Transactions

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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	2023-03-09	5,383	$8.58	739,195	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, Par Value $0.0001 Per Share	268,943	Indirect	By 2021 K.B. Schaefer Legacy Trust
Common Stock, Par Value $0.0001 Per Share	268,943	Indirect	By 2021 N.R. Schaefer Legacy Trust
Common Stock, Par Value $0.0001 Per Share	537,886	Indirect	By Trust

Footnotes

Represents shares of common stock sold to cover the reporting person's tax liability in connection with the previously-reported settlement of RSUs.
Held by the 2021 K.B. Schaefer Legacy Trust, of which the reporting person is the settlor.
Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor.
Held by the Schaefer Descendants Trust, of which the reporting person is the settlor.