Filing Details

Accession Number:
0001758766-22-000189
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2022-11-17 17:21:01
Reporting Period:
2022-11-14
Accepted Time:
2022-11-17 17:21:01
Original Submission Date:
2022-11-16
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
1864717 Larsh Johnson 100 California Street
14Th Floor
San Francisco CA 94111
Chief Technology 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 Disposition 2022-11-14 12,500 $13.46 119,956 No 4 S Indirect By Trust
Common Stock, Par Value $0.0001 Per Share Disposition 2022-11-15 12,500 $14.42 107,456 No 4 S Indirect By Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Trust
No 4 S Indirect By Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.0001 Per Share 41,410 Direct
Footnotes
  1. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.35 to $13.51. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  2. Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee.
  3. Shares held by trust for which the Reporting Person is a trustee.
  4. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.07 to $14.81. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  5. Due to an error, the Reporting Person's direct holdings were previously reported as indirect holdings, and overstated by 288 shares.