William John Bush - 15 Mar 2022 Form 4 Insider Report for STEM, INC. (STEM)

Role: Chief Financial Officer
Signature: /s/ William Bush
Issuer symbol: STEM
Transactions as of: 15 Mar 2022
Net transactions value: -$1,821,830
Form type: 4
Filing time: 17 Mar 2022, 21:49:40 UTC
Previous filing: 03 Mar 2022
Next filing: 02 May 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	Options Exercise	$176,900	+105,928	+36%	$1.67	400,719	15 Mar 2022	Direct
transaction	STEM	Common Stock, Par Value $0.0001 Per Share	Tax liability	$411,556	-51,703	-13%	$7.96	349,016	15 Mar 2022	Direct	F1
transaction	STEM	Common Stock, Par Value $0.0001 Per Share	Options Exercise	$178,514	+74,072	+21%	$2.41	423,088	15 Mar 2022	Direct
transaction	STEM	Common Stock, Par Value $0.0001 Per Share	Tax liability	$332,887	-41,820	-9.9%	$7.96	381,268	15 Mar 2022	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	$843,187	-105,928	-11%	$7.96	896,218	15 Mar 2022	Common Stock, Par Value $0.0001 Per Share	105,928	$1.67	Direct
transaction	STEM	Stock Option (Right to Buy)	Options Exercise	$589,613	-74,072	-8.3%	$7.96	822,146	15 Mar 2022	Common Stock, Par Value $0.0001 Per Share	74,072	$2.41	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.