Filing Details

Accession Number:
0001758766-23-000041
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-03-16 17:45:51
Reporting Period:
2023-03-14
Accepted Time:
2023-03-16 17:45:51
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
1941731 Kim Homenock 100 California Street
14Th Floor
San Francisco CA 94111
Chief People 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 2023-03-14 70,092 $0.00 96,794 No 4 M Direct
Common Stock, Par Value $0.0001 Per Share Disposition 2023-03-15 27,063 $6.72 69,731 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 2023-03-14 70,092 $0.00 70,092 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
118,488 No 4 M Direct
Footnotes
  1. Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on March 14, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
  2. Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs.
  3. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $6.71 to $6.75. 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. On March 14, 2022, the reporting person was granted 53,404 RSUs vesting 100% on March 14, 2023 and 66,755 RSUs vesting in four equal annual installments beginning on March 14, 2023.