Rajiv Rai - Sep 30, 2022 Form 4 Insider Report for Stem Holdings, Inc. (STMH)

Role
Director
Signature
/s/ Rajiv Rai
Stock symbol
STMH
Transactions as of
Sep 30, 2022
Transactions value $
$121,596
Form type
4
Date filed
9/8/2023, 04:00 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Ownership Footnotes
transaction STMH Common Stock +Grant/Award $65,096 +2,169,853 $0.03 2,169,853 Sep 30, 2022 Direct
transaction STMH Common Stock +Grant/Award $3,250 +162,500 +7.49% $0.02 2,332,353 Dec 1, 2022 Direct
transaction STMH Common Stock +Grant/Award $3,250 +162,500 +6.97% $0.02 2,494,853 Jul 19, 2022 Direct
transaction STMH Common Stock +Grant/Award $50,000 +5,000,000 +200.41% $0.01 7,494,853 Jun 30, 2023 Direct

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).