Matthew Tappin - May 28, 2024 Form 4 Insider Report for STEM, INC. (STEM)

Role
President, Asset Management
Signature
/s/ Chen Zhang, attorney-in-fact
Stock symbol
STEM
Transactions as of
May 28, 2024
Transactions value $
-$1,832
Form type
4
Date filed
5/30/2024, 04:31 PM
Previous filing
May 28, 2024
Next filing
Nov 1, 2024

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 -$1.83K -1.39K -7.7% $1.32 16.6K May 28, 2024 Direct F1
* 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:

Id Content
F1 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2023.