Filing Details

Accession Number:
0001758766-24-000013
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-02-20 16:48:09
Reporting Period:
2024-02-15
Accepted Time:
2024-02-20 16:48:09
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
1986259 Matthew Tappin 100 California Street
14Th Floor
San Francisco CA 94111
President, Asset Management 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 2024-02-15 24,315 $0.00 28,870 No 4 M Direct
Common Stock, Par Value $0.0001 Per Share Disposition 2024-02-16 10,602 $3.17 18,268 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 2024-02-15 24,315 $0.00 24,315 $0.00
Common Stock, Par Value $0.0001 Per Share Stock Option (Right to Buy) Acquisiton 2024-02-15 45,024 $0.00 45,024 $3.37
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
95,112 No 4 M Direct
45,024 2034-02-15 No 4 A Direct
Footnotes
  1. Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.
  2. On February 15, 2023, the reporting person was granted 73,684 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.
  3. The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.