Filing Details
- Accession Number:
- 0000950170-25-040335
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2025-03-17 16:30:08
- Reporting Period:
- 2025-03-11
- Filing Date:
- 2025-03-17
- Accepted Time:
- 2025-03-17 16:30:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1948274 | James Michael Carlson | Four Embarcadero Center, Suite 710 San Francisco CA 94111 | Chief Operating Officer | No | No | 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 | 2025-03-11 | 70,834 | $0.00 | 231,879 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2025-03-12 | 27,739 | $0.40 | 204,140 | 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 | 2025-03-11 | 70,834 | $0.00 | 70,834 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 455,686 | 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 May 28, 2024, the reporting person was granted 212,500 RSUs vesting in three annual installments beginning March 2025.
Billionaire Hedge Funds
