Adam Daley - Apr 28, 2022 Form 4 Insider Report for STEM, INC. (STEM)

Role
Director
Signature
/s/ Kathy Medford, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Apr 28, 2022
Transactions value $
$0
Form type
4
Date filed
4/29/2022, 07:17 AM
Previous filing
Dec 2, 2021
Next filing
Jul 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 Options Exercise $0 +5.52K +5.46% $0.00 107K Apr 28, 2022 Direct F1
holding STEM Common Stock, Par Value $0.0001 Per Share 246K Apr 28, 2022 By Daley Investment Trust F2
holding STEM Common Stock, Par Value $0.0001 Per Share 243K Apr 28, 2022 By Daley Revocable Trust F3

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 Restricted Stock Unit Options Exercise $0 -5.52K -100% $0.00* 0 Apr 28, 2022 Common Stock, Par Value $0.0001 Per Share 5.52K Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") that were issued to the reporting person on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan.
F2 Held by the Daley Investment Trust, of which the reporting person is a trustee.
F3 Held by Daley Revocable Trust, of which the reporting person is a trustee.
F4 On July 2, 2021, the reporting person was granted 5,524 RSUs vesting 100% on April 28, 2021.