John Eugene Carrington - Mar 1, 2023 Form 4 Insider Report for STEM, INC. (STEM)

Role
CEO and Director, Director
Signature
/s/ Kathy Medford, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Mar 1, 2023
Transactions value $
$0
Form type
4
Date filed
3/3/2023, 04:16 PM
Previous filing
Feb 28, 2023
Next filing
Mar 21, 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 Options Exercise $0 +26.8K +27.39% $0.00 125K Mar 1, 2023 Direct F1

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 -26.8K -2.16% $0.00 1.22M Mar 1, 2023 Common Stock, Par Value $0.0001 Per Share 26.8K Direct F1, F2
* 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") issued on March 1, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
F2 On March 1, 2022, the reporting person was granted 107,181 RSUs vesting in four equal annual installments beginning on March 1, 2023.