Adam Daley - 10 Aug 2022 Form 4 Insider Report for STEM, INC. (STEM)

Role
Director
Signature
/s/ Kathy Medford, Attorney-in-Fact
Issuer symbol
STEM
Transactions as of
10 Aug 2022
Net transactions value
-$2,238,150
Form type
4
Filing time
11 Aug 2022, 20:42:18 UTC
Previous filing
29 Jul 2022
Next filing
21 Nov 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 Sale $1,109,475 -75,000 -31% $14.79 167,776 10 Aug 2022 By Daley Revocable Trust F1, F2, F3, F4
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $1,128,675 -75,000 -45% $15.05 92,776 11 Aug 2022 By Daley Revocable Trust F1, F3, F4, F5
transaction STEM Common Stock, Par Value $0.0001 Per Share Gift $0 -20,000 -19% $0.000000 86,773 07 Jun 2022 Direct F6
holding STEM Common Stock, Par Value $0.0001 Per Share 246,251 10 Aug 2022 By Daley Investment Trust
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2022.
F2 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.42 to $15.26. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3 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.
F4 Held by Daley Revocable Trust, of which the reporting person is a trustee.
F5 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.69 to $15.25. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F6 Represents a gift of 20,000 shares to a university foundation on June 7, 2022.