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Home > Insider Trading > Filing (0001758766-23-000097)

Filing Details

Accession Number:: 0001758766-23-000097
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-06-20 16:10:20
Reporting Period:: 2023-06-15

Accepted Time:: 2023-06-20 16:10:20
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1758766	Stem Inc.	STEM	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1603830	L Lisa Troe	100 California Street 14Th Floor San Francisco CA 94111		Yes	No	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	Acquisiton	2023-06-15	20,498	$0.00	26,022	No	4	M	Direct
Common Stock, Par Value $0.0001 Per Share	Disposition	2023-06-16	6,150	$6.40	19,872	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

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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	2023-06-15	20,498	$0.00	20,498	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
23,489			No	4	M	Direct

Footnotes

Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") that were issued to the reporting person on July 28, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.