John Eugene Carrington - Aug 25, 2021 Form 4 Insider Report for STEM, INC. (STEM)

Role
CEO and Director
Signature
John Carrington by William Bush, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Aug 25, 2021
Transactions value $
-$26,808,243
Form type
4
Date filed
8/27/2021, 06:18 PM
Previous filing
Jul 6, 2021
Next filing
Nov 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction STEM Common Stock, Par Value $0.0001 Per Share Options Exercise $115K +118K +56.85% $0.97* 326K Aug 25, 2021 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Tax liability -$1.43M -57.4K -17.59% $24.87 269K Aug 25, 2021 Direct F1
transaction STEM Common Stock, Par Value $0.0001 Per Share Options Exercise $504K +520K +193.15% $0.97* 789K Aug 25, 2021 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Tax liability -$6.66M -268K -33.96% $24.87 521K Aug 25, 2021 Direct F1
transaction STEM Common Stock, Par Value $0.0001 Per Share Options Exercise $119K +95K +18.24% $1.25* 616K Aug 25, 2021 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Tax liability -$1.23M -49.5K -8.04% $24.87 566K Aug 25, 2021 Direct 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
transaction STEM Stock Option (Right to Buy) Options Exercise -$2.94M -118K -2.88% $24.87 3.99M Aug 25, 2021 Common Stock, Par Value $0.0001 Per Share 118K $0.97 Direct
transaction STEM Stock Option (Right to Buy) Options Exercise -$12.9M -520K -13.03% $24.87 3.47M Aug 25, 2021 Common Stock, Par Value $0.0001 Per Share 520K $0.97 Direct
transaction STEM Stock Option (Right to Buy) Options Exercise -$2.36M -95K -2.74% $24.87 3.37M Aug 25, 2021 Common Stock, Par Value $0.0001 Per Share 95K $1.25 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person.