larsh Johnson - Nov 14, 2022 Form 4/A - Amendment Insider Report for STEM, INC. (STEM)

Role
Chief Technology Officer
Signature
/s/ Kathy Medford, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Nov 14, 2022
Transactions value $
-$348,479
Form type
4/A - Amendment
Date filed
11/17/2022, 04:21 PM
Date Of Original Report
Nov 16, 2022
Previous filing
Aug 16, 2022
Next filing
Feb 17, 2023

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 -$168K -12.5K -9.44% $13.46 120K Nov 14, 2022 By Trust F1, F2, F3
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale -$180K -12.5K -10.42% $14.42 107K Nov 15, 2022 By Trust F2, F3, F4
holding STEM Common Stock, Par Value $0.0001 Per Share 41.4K Nov 14, 2022 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.35 to $13.51. 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.
F2 Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee.
F3 Shares held by trust for which the Reporting Person is a trustee.
F4 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.07 to $14.81. 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.
F5 Due to an error, the Reporting Person's direct holdings were previously reported as indirect holdings, and overstated by 288 shares.

Remarks:

This amendment is being filed to correct an error in the direct holdings of the Reporting Person as reported in the Form 4 filed on November 16, 2022. Line three has been added and the footnotes have been revised in this Form 4/A.