Filing Details
- Accession Number:
- 0001758766-24-000080
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-04-30 17:21:00
- Reporting Period:
- 2024-04-28
- Accepted Time:
- 2024-04-30 17:21:00
- 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 |
---|---|---|---|---|---|---|---|
1864029 | Alan Russo | 100 California Street 14Th Floor San Francisco CA 94111 | Chief Revenue 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 | 2024-04-28 | 65,000 | $0.00 | 232,798 | No | 4 | M | Direct | |
Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2024-04-28 | 4,254 | $0.00 | 237,052 | No | 4 | M | Direct | |
Common Stock, Par Value $0.0001 Per Share | Disposition | 2024-04-30 | 24,142 | $1.87 | 212,910 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
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 | 2024-04-28 | 65,000 | $0.00 | 65,000 | $0.00 |
Common Stock, Par Value $0.0001 Per Share | Restricted Stock Unit | Disposition | 2024-04-28 | 4,254 | $0.00 | 4,254 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
109,003 | No | 4 | M | Direct | ||
104,749 | No | 4 | M | 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 July 2, 2021, the reporting person was granted 65,000 RSUs vesting 100% on April 28, 2024.
- On July 2, 2021, the reporting person was granted 17,018 RSUs vesting in four equal annual installments beginning on April 28, 2022.