Filing Details
- Accession Number:
- 0001758766-24-000039
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-03-05 16:23:48
- Reporting Period:
- 2024-03-01
- Accepted Time:
- 2024-03-05 16:23:48
- 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
| 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 | 2024-03-01 | 16,747 | $0.00 | 758,422 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2024-03-01 | 101,096 | $0.00 | 859,518 | No | 4 | A | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2024-03-04 | 5,945 | $2.48 | 853,573 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | A | 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 | 2024-03-01 | 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 |
|---|---|---|---|---|---|---|
| 77,573 | No | 4 | M | 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 N.R. Schaefer Legacy Trust |
| 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 | 537,886 | Indirect | By Trust |
Footnotes
- Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor.
- Held by the 2021 K.B. 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.
- Shares issued in connection with bonus earned under the Issuer's 2023 annual incentive plan based on attainment of corporate performance goals.
- 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 March 1, 2022, the reporting person was granted 66,988 RSUs vesting in four equal annual installments beginning on March 1, 2023.
Billionaire Hedge Funds
