Adam Daley - Nov 30, 2021 Form 4 Insider Report for STEM, INC. (STEM)

Role
Director
Signature
/s/ William Bush, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Nov 30, 2021
Transactions value $
-$4,095,270
Form type
4
Date filed
12/2/2021, 05:40 PM
Previous filing
Aug 17, 2021
Next filing
Apr 29, 2022

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 Other $0 +10.1K +2.32% $0.00 443K Nov 30, 2021 By Daley Revocable Trust F1, F2, F3
transaction STEM Common Stock, Par Value $0.0001 Per Share Other $0 +13.9K +15.87% $0.00 101K Nov 30, 2021 Direct F4, F5
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale -$2.11M -100K -22.58% $21.13 343K Dec 1, 2021 By Daley Revocable Trust F3, F6, F7
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale -$1.98M -100K -29.17% $19.82 243K Dec 2, 2021 By Daley Revocable Trust F3, F6, F7
holding STEM Common Stock, Par Value $0.0001 Per Share 246K Nov 30, 2021 By Daley Investment Trust F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares of common stock reported herein give effect to a pro rata distribution of Issuer common stock from Star Peak Sponsor LLC (the "Sponsor") and its affiliates to members of the Sponsor, including the reporting person, for no additional consideration (the "Distribution").
F2 Represents number of shares beneficially owned by Daley Revocable Trust after giving effect to the Distribution.
F3 Held by Daley Revocable Trust, of which the reporting person is a trustee.
F4 The shares of common stock reported herein give effect to the Distribution.
F5 Represents number of shares directly and beneficially owned by the reporting person after giving effect to the Distribution.
F6 Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2021.
F7 Represents number of shares beneficially owned by Daley Revocable Trust after giving effect to sale pursuant to the reporting person's 10b5-1 trading plan.
F8 Held by the Daley Investment Trust, of which the reporting person is a trustee.