Home > Insider Trading > Filing (0001758766-24-000019)

Filing Details

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
1672864	R. Saul Laureles	100 California Street 14Th Floor San Francisco CA 94111	Chief Legal 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	2024-02-15	34,736	$0.00	90,962	No	4	M	Direct
Common Stock, Par Value $0.0001 Per Share	Disposition	2024-02-16	10,959	$3.17	80,003	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	2024-02-15	34,736	$0.00	34,736	$0.00
Common Stock, Par Value $0.0001 Per Share	Stock Option (Right to Buy)	Acquisiton	2024-02-15	90,048	$0.00	90,048	$3.37

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
131,694			No	4	M	Direct
90,048		2034-02-15	No	4	A	Direct

Footnotes

Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.
On February 15, 2023, the reporting person was granted 84,210 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.
The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.