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

Role
Director
Signature
/s/ William Bush, Attorney-in-Fact
Issuer symbol
STEM
Transactions as of
30 Nov 2021
Net transactions value
-$4,095,270
Form type
4
Filing time
02 Dec 2021, 17:40:16 UTC
Previous filing
17 Aug 2021
Next filing
29 Apr 2022
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 Other $0 +10,051 +2.3% $0.000000 442,776 30 Nov 2021 By Daley Revocable Trust F1, F2, F3
transaction STEM Common Stock, Par Value $0.0001 Per Share Other $0 +13,865 +16% $0.000000 101,249 30 Nov 2021 Direct F4, F5
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $2,113,480 -100,000 -23% $21.13 342,776 01 Dec 2021 By Daley Revocable Trust F3, F6, F7
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $1,981,790 -100,000 -29% $19.82 242,776 02 Dec 2021 By Daley Revocable Trust F3, F6, F7
holding STEM Common Stock, Par Value $0.0001 Per Share 246,251 30 Nov 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.