Prakesh Patel - Oct 27, 2021 Form 4 Insider Report for STEM, INC. (STEM)

Role
Chief Strategy Officer
Signature
/s/ William Bush, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Oct 27, 2021
Transactions value $
-$1,697,632
Form type
4
Date filed
10/29/2021, 06:39 PM
Previous filing
Jul 6, 2021
Next filing
Nov 12, 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 Award $0 +180K $0.00 180K Oct 27, 2021 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Tax liability $0 -6.77K -3.76% $0.00 173K Oct 27, 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 $0 -116K -12.36% $0.00 825K Oct 27, 2021 Common Stock, Par Value $0.0001 Per Share 116K $0.97 Direct
transaction STEM Stock Option (Right to Buy) Options Exercise -$1.15M -43.1K -5.22% $26.65 782K Oct 27, 2021 Common Stock, Par Value $0.0001 Per Share 43.1K $0.97 Direct
transaction STEM Stock Option (Right to Buy) Options Exercise -$550K -20.6K -2.64% $26.65 761K Oct 27, 2021 Common Stock, Par Value $0.0001 Per Share 20.6K $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 remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person.