Prakesh Patel - 28 Apr 2021 Form 3 Insider Report for STEM, INC. (STEM)

Role
Chief Strategy Officer
Signature
Prakesh Patel by William Bush, Attorney-in-Fact
Issuer symbol
STEM
Transactions as of
28 Apr 2021
Net transactions value
$0
Form type
3
Filing time
28 May 2021, 15:46:52 UTC
Next filing
02 Jun 2021
SEC
View on sec.gov

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 28 Apr 2021 Common Stock 159,372 $0.9700 Direct
holding STEM Stock Option 28 Apr 2021 Common Stock 52,765 $1.25 Direct
holding STEM Stock Option 28 Apr 2021 Common Stock 303,145 $1.25 Direct
holding STEM Stock Option 28 Apr 2021 Common Stock 291,632 $2.41 Direct F1
holding STEM Stock Option 28 Apr 2021 Common Stock 99,608 $6.81 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 25% of the shares underlying the option vest on the first anniversary date, and the remaining shares underlying the option vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date.