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Filing Details

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
1948274	James Michael Carlson	100 California Street San Francisco CA 94111	Chief Operating 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	2023-09-26	6,089	$0.00	6,089	No	4	M	Direct
Common Stock, Par Value $0.0001 Per Share	Disposition	2023-09-27	1,822	$4.18	4,267	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	2023-09-26	6,089	$0.00	6,089	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
97,214			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 September 26, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
Represent shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. This sale is mandated by the Issuer's equity incentive plan, which requires the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent discretionary trades by the Reporting Person.
The RSU award vests in four equal annual installments beginning on September 26, 2023.