Filing Details

Accession Number:
0001758766-22-000191
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-11-21 17:09:24
Reporting Period:
2022-11-17
Accepted Time:
2022-11-21 17:09:24
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 Disposition 2022-11-17 75,000 $13.63 171,251 No 4 S Indirect By Daley Investment Trust
Common Stock, Par Value $0.0001 Per Share Disposition 2022-11-18 75,000 $13.57 96,251 No 4 S Indirect By Daley Investment Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Daley Investment Trust
No 4 S Indirect By Daley Investment Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.0001 Per Share 92,776 Indirect By Daley Revocable Trust
Common Stock, Par Value $0.0001 Per Share 86,773 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 $13.82. 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. Held by Daley Investment Trust, of which the Reporting Person is a trustee.
  3. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.25 to $13.875. 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.
  4. Held by Daley Revocable Trust, of which the Reporting Person is a trustee.