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Signature
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/s/ Kathy Medford, Attorney-in-Fact
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Issuer symbol
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STEM
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Transactions as of
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15 Jun 2023
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Net transactions value
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-$39,360
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Form type
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4
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Filing time
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20 Jun 2023, 16:10:20 UTC
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 |
+20,498 |
+371% |
$0.000000 |
26,022 |
15 Jun 2023 |
Direct |
F1 |
| transaction |
STEM |
Common Stock, Par Value $0.0001 Per Share |
Sale |
$39,360 |
-6,150 |
-24% |
$6.40 |
19,872 |
16 Jun 2023 |
Direct |
F2 |
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 |
-20,498 |
-47% |
$0.000000 |
23,489 |
15 Jun 2023 |
Common Stock, Par Value $0.0001 Per Share |
20,498 |
|
Direct |
F1, F3 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Explanation of Responses: