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 Award $65.1K +2.17M $0.03 2.17M Sep 30, 2022 Direct
transaction STMH Common Stock Award $3.25K +163K +7.49% $0.02 2.33M Dec 1, 2022 Direct
transaction STMH Common Stock Award $3.25K +163K +6.97% $0.02 2.49M Jul 19, 2022 Direct
transaction STMH Common Stock Award $50K +5M +200.41% $0.01 7.49M Jun 30, 2023 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

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).