larsh Johnson - Aug 30, 2021 Form 4 Insider Report for STEM, INC. (STEM)

Role
Chief Technology Officer
Signature
/s/ William Bush, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Aug 30, 2021
Transactions value $
-$3,892,318
Form type
4
Date filed
9/1/2021, 06:16 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 $184K +110K +116.95% $1.67 204K Aug 30, 2021 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Tax liability -$1.33M -53.3K -26.12% $24.96 151K Aug 30, 2021 Direct F1
holding STEM Common Stock, Par Value $0.0001 Per Share 56.7K Aug 30, 2021 By Trust F2

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 -$2.75M -110K -14.53% $24.96 647K Aug 30, 2021 Common Stock, Par Value $0.0001 Per Share 110K $1.67 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.
F2 Shares held by trust for which the reporting person is a trustee.