Filing Details

Accession Number:
0001758766-23-000079
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-05-05 10:31:57
Reporting Period:
2023-04-28
Accepted Time:
2023-05-05 10:31:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1758766 Stem Inc. STEM () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1672864 R. Saul Laureles 100 California Street
14Th Floor
San Francisco CA 94111
Chief Legal 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 2023-04-28 3,453 $0.00 32,681 No 4 M Direct
Common Stock, Par Value $0.0001 Per Share Disposition 2023-05-01 887 $4.12 31,794 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 2023-04-28 3,453 $0.00 3,453 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
200,755 No 4 M Direct
Footnotes
  1. Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") granted on July 2, 2021 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. On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in four equal annual installments beginning on April 28, 2022.