Michael C. Morgan - Mar 17, 2022 Form 4 Insider Report for STEM, INC. (STEM)

Role
Director
Signature
/s/ Kathy Medford, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Mar 17, 2022
Transactions value $
$0
Form type
4
Date filed
4/21/2022, 04:47 PM
Previous filing
Mar 17, 2022
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 -134K -100% $0.00* 0 Mar 17, 2022 Held by Star Peak Sponsor LLC F1
holding STEM Common Stock, Par Value $0.0001 Per Share 1.18M Mar 17, 2022 Held by Portcullis Investments, LP F2
holding STEM Common Stock, Par Value $0.0001 Per Share 50K Mar 17, 2022 Held by Portcullis Partners, LP F3
holding STEM Common Stock, Par Value $0.0001 Per Share 542K Mar 17, 2022 By Trust F4
holding STEM Common Stock, Par Value $0.0001 Per Share 37.5K Mar 17, 2022 By Trust F5
holding STEM Common Stock, Par Value $0.0001 Per Share 37.5K Mar 17, 2022 By Trust F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person ceased to indirectly beneficially own the securities of the registrant held by Star Peak Sponsor LLC as a result of technical amendments to the governing documents of Star Peak Sponsor LLC.
F2 The reporting person serves as Manager of the general partner, Portcullis G.P., LLC, for, and he and his spouse indirectly hold interests in, Portcullis Investments, L.P. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
F3 The reporting person serves as Manager of the general partner, Portcullis G.P., LLC, for, and he and his spouse indirectly hold interests in, Portcullis Partners, L.P. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
F4 Held by a trust of which the reporting person is a trustee.
F5 Held by a family trust (M GST) of which the reporting person is an investment adviser.
F6 Held by a family trust (C GST) of which the reporting person is an investment adviser.