David S. Buzby - 04 Jun 2025 Form 4 Insider Report for STEM, INC. (STEM)

Role
Director
Signature
/s/ Saul R. Laureles, Attorney-in-Fact
Issuer symbol
STEM
Transactions as of
04 Jun 2025
Net transactions value
$0
Form type
4
Filing time
06 Jun 2025, 19:25:32 UTC
Previous filing
02 Jun 2025
Next filing
08 Jul 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
BUZBY DAVID S Director 1400 POST OAK BOULEVARD, SUITE 560, HOUSTON /s/ Saul R. Laureles, Attorney-in-Fact 06 Jun 2025 0001244203

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding STEM Common Stock, Par Value $0.0001 Per Share 119,789 04 Jun 2025 Direct F1
holding STEM Common Stock, Par Value $0.0001 Per Share 641,209 04 Jun 2025 By the David S. Buzby Revocable Trust

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 Award $0 +149,723 $0.000000 149,723 04 Jun 2025 Common Stock, Par Value 0.0001 Per Share 149,723 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person's holdings in Column 5 reflect an adjustment to correct a previous filing made on June 2, 2025, which incorrectly reported a vesting of 110,236 RSUs. These RSUs were previously forfeited by the Reporting Person.
F2 Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
F3 On June 4, 2025, the Reporting Person was granted 149,723 RSUs vesting 100% on August 7, 2026.