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

Role: Chief Strategy Officer
Signature: /s/ William Bush, Attorney-in-Fact
Issuer symbol: STEM
Transactions as of: 27 Oct 2021
Net transactions value: -$1,697,632
Form type: 4
Filing time: 29 Oct 2021, 18:39:18 UTC
Previous filing: 06 Jul 2021
Next filing: 12 Nov 2021
SEC: View on sec.gov

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	+180,000		$0.000000	180,000	27 Oct 2021	Direct
transaction	STEM	Common Stock, Par Value $0.0001 Per Share	Tax liability	$0	-6,769	-3.8%	$0.000000	173,231	27 Oct 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	-116,299	-12%	$0.000000	824,753	27 Oct 2021	Common Stock, Par Value $0.0001 Per Share	116,299	$0.9700	Direct
transaction	STEM	Stock Option (Right to Buy)	Options Exercise	$1,147,895	-43,073	-5.2%	$26.65	781,680	27 Oct 2021	Common Stock, Par Value $0.0001 Per Share	43,073	$0.9700	Direct
transaction	STEM	Stock Option (Right to Buy)	Options Exercise	$549,736	-20,628	-2.6%	$26.65	761,052	27 Oct 2021	Common Stock, Par Value $0.0001 Per Share	20,628	$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.