Key facts
- This page summarizes Robert Schaefer's Form 4 filing for STEM, INC. (STEM).
- 2 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 03 Mar 2023, 16:10.
Robert Schaefer - 01 Mar 2023 Form 4 Insider Report for STEM, INC. (STEM)
- Reporting relationship
- President, Transformational
- Issuer ticker
- STEM
- Reported as of
- 01 Mar 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 03 Mar 2023, 16:10:11 UTC
- Prior SEC filing
- 17 Feb 2023
- Next SEC filing
- 13 Mar 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Kathy Medford, Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Robert Schaefer filed Form 4 for STEM, INC. (STEM) on 03 Mar 2023.
Change
- Previous filing in this sequence was filed on 17 Feb 2023.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
STEM
transaction
Common Stock, Par Value $0.0001 Per Share
Options Exercise
- Transaction value
- $0
- Shares
- +16,747
- Change %
- +2.3%
- Price
- $0.000000
- Shares after
- 744,578
- Date
- 01 Mar 2023
- Ownership
- Direct
- Footnotes
- F1
STEM
holding
Common Stock, Par Value $0.0001 Per Share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 268,943
- Date
- 01 Mar 2023
- Ownership
- By 2021 K.B. Schaefer Legacy Trust
- Footnotes
- F2
STEM
holding
Common Stock, Par Value $0.0001 Per Share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 268,943
- Date
- 01 Mar 2023
- Ownership
- By 2021 N.R. Schaefer Legacy Trust
- Footnotes
- F3
STEM
holding
Common Stock, Par Value $0.0001 Per Share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 537,886
- Date
- 01 Mar 2023
- Ownership
- By Trust
- Footnotes
- F4
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
STEM
transaction
Derivative
Restricted Stock Unit
Options Exercise
- Transaction value
- $0
- Shares
- -16,747
- Change %
- -13%
- Price
- $0.000000
- Shares after
- 116,030
- Date
- 01 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock, Par Value $0.0001 Per Share
- Underlying amount
- 16,747
- Exercise price
- Footnotes
- F1, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on March 1, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
Footnote F2
Held by the 2021 K.B. Schaefer Legacy Trust, of which the reporting person is the settlor.
Footnote F3
Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor.
Footnote F4
Held by the Schaefer Descendants Trust, of which the reporting person is the settlor.
Footnote F5
On March 1, 2022, the reporting person was granted 66,988 RSUs vesting in four equal annual installments beginning on March 1, 2023.