Matthew Tappin - 06 Mar 2025 Form 4 Insider Report for STEM, INC. (STEM)

Role
President, Software Division
Signature
/s/ Saul R. Laureles, attorney-in-fact
Issuer symbol
STEM
Transactions as of
06 Mar 2025
Net transactions value
-$7,646
Form type
4
Filing time
17 Mar 2025, 16:30:13 UTC
Previous filing
21 Feb 2025
Next filing
18 Jun 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction STEM Common Stock, Par Value $0.0001 Per Share Options Exercise $0 +13,397 +41% $0.000000 46,218 06 Mar 2025 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $2,365 -5,645 -12% $0.4190 40,573 07 Mar 2025 Direct F1
transaction STEM Common Stock, Par Value $0.0001 Per Share Options Exercise $0 +29,167 +72% $0.000000 69,740 11 Mar 2025 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $5,280 -13,070 -19% $0.4040 56,670 12 Mar 2025 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction STEM Restricted Stock Unit Options Exercise $0 -13,397 -3% $0.000000 428,726 06 Mar 2025 Common Stock, Par Value $0.0001 Per Share 13,397 $0.000000 Direct F2
transaction STEM Restricted Stock Unit Options Exercise $0 -29,167 -6.8% $0.000000 399,559 11 Mar 2025 Common Stock, Par Value $0.0001 Per Share 29,167 $0.000000 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 On March 1, 2022, the reporting person was granted 53,590 RSUs vesting in four annual installments beginning March 2023.
F3 On May 28, 2024, the reporting person was granted 87,500 RSUs vesting in three annual installments beginning March 2025.