David S. Buzby - Apr 28, 2021 Form 3 Insider Report for STEM, INC. (STEM)

Role
Director
Signature
David Buzby by William Bush, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Apr 28, 2021
Transactions value $
$0
Form type
3
Date filed
5/25/2021, 05:46 PM
Next filing
Jul 6, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding STEM Common Stock 453K Apr 28, 2021 Direct
holding STEM Common Stock 89.7K Apr 28, 2021 Held by the David S. Buzby Revocable Trust 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
holding STEM Stock Option Apr 28, 2021 Common Stock 33K $1.25 Direct
holding STEM Stock Option Apr 28, 2021 Common Stock 27.6K $1.25 Direct
holding STEM Stock Option Apr 28, 2021 Common Stock 190K $2.27 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 David Buzby, sole trustee of the David S. Buzby Revocable Trust, exercises beneficial ownership of shares held by the David S. Buzby Revocable Trust.
F2 Granted November 1, 2018, vesting commencement date of January 1, 2018, 25% vested and exercisable on first anniversary date of vesting commencement date, then an additional 1/48th vested and exercisable on each monthly anniversary thereafter, subject to continuing service on each vesting date.