Filing Details
- Accession Number:
- 0001758766-21-000212
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-12-02 18:40:16
- Reporting Period:
- 2021-11-30
- Accepted Time:
- 2021-12-02 18:40:16
- 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 |
|---|---|---|---|---|---|---|---|
| 1821227 | Adam Daley | 100 California Street 14Th Floor San Francisco CA 94111 | Yes | 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 | 2021-11-30 | 10,051 | $0.00 | 442,776 | No | 4 | J | Indirect | By Daley Revocable Trust |
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2021-11-30 | 13,865 | $0.00 | 101,249 | No | 4 | J | Direct | |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2021-12-01 | 100,000 | $21.13 | 342,776 | No | 4 | S | Indirect | By Daley Revocable Trust |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2021-12-02 | 100,000 | $19.82 | 242,776 | No | 4 | S | Indirect | By Daley Revocable Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Indirect | By Daley Revocable Trust |
| No | 4 | J | Direct | |
| No | 4 | S | Indirect | By Daley Revocable Trust |
| No | 4 | S | Indirect | By Daley Revocable Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | 246,251 | Indirect | By Daley Investment Trust |
Footnotes
- The shares of common stock reported herein give effect to a pro rata distribution of Issuer common stock from Star Peak Sponsor LLC (the "Sponsor") and its affiliates to members of the Sponsor, including the reporting person, for no additional consideration (the "Distribution").
- Represents number of shares beneficially owned by Daley Revocable Trust after giving effect to the Distribution.
- Held by Daley Revocable Trust, of which the reporting person is a trustee.
- The shares of common stock reported herein give effect to the Distribution.
- Represents number of shares directly and beneficially owned by the reporting person after giving effect to the Distribution.
- Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2021.
- Represents number of shares beneficially owned by Daley Revocable Trust after giving effect to sale pursuant to the reporting person's 10b5-1 trading plan.
- Held by the Daley Investment Trust, of which the reporting person is a trustee.
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