| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | STEM | Common Stock, Par Value $0.0001 Per Share | Sale | -$82K | -37.5K | -4.39% | $2.19 | 816K | Mar 8, 2024 | Direct | F1 |
| holding | STEM | Common Stock, Par Value $0.0001 Per Share | 269K | Mar 8, 2024 | By 2021 N.R. Schaefer Legacy Trust | F2 | |||||
| holding | STEM | Common Stock, Par Value $0.0001 Per Share | 269K | Mar 8, 2024 | By 2021 K.B. Schaefer Legacy Trust | F3 | |||||
| holding | STEM | Common Stock, Par Value $0.0001 Per Share | 538K | Mar 8, 2024 | By Trust |
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).
| Id | Content |
|---|---|
| F1 | Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the issuance of shares previously reported in the Form 4 filed on March 5, 2024. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. |
| F2 | Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor. |
| F3 | Held by the 2021 K.B. Schaefer Legacy Trust, of which the reporting person is the settlor. |