Brian Musfeldt - 17 Jul 2025 Form 4/A - Amendment Insider Report for STEM, INC. (STEM)

Role
Chief Financial Officer
Signature
/s/ Sarah Dunn, attorney-in-fact
Issuer symbol
STEM
Transactions as of
17 Jul 2025
Net transactions value
$0
Form type
4/A - Amendment
Filing time
02 Oct 2025, 20:53:14 UTC
Date Of Original Report
19 Aug 2025
Next filing
02 Mar 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Musfeldt Brian Chief Financial Officer 1400 POST OAK BOULEVARD, SUITE 560, HOUSTON /s/ Sarah Dunn, attorney-in-fact 02 Oct 2025 0002081813

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 Award $0 +2,500 $0.000000 2,500 17 Jul 2025 Common Stock, Par Value $0.0001 Per Share 2,500 Direct F1, F2, F3
transaction STEM Performance Stock Unit Award $0 +6,750 $0.000000 6,750 17 Jul 2025 Common Stock, Par Value $0.0001 Per Share 6,750 Direct F1, F4, F5
transaction STEM Stock Option Award $0 +1,250 $0.000000 1,250 17 Jul 2025 Common Stock, Par Value $0.0001 Per Share 1,250 $9.27 Direct F3, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit ("RSU") and performance stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock.
F2 On July 17, 2025, the Reporting Person was granted 2,500 RSUs vesting 100% on August 7, 2027, subject to the Reporting Person's continued service to the Issuer through the vesting date.
F3 3. This grant was inadvertently omitted from the original Form 4.
F4 On July 17, 2025, the Reporting Person was granted 6,750 PSUs, a portion of which vests, if the volume-weighted average price of the Issuer's common stock for any consecutive sixty (60) trading-day period equals or exceeds a stock price target.
F5 This amendment corrects an error in the original Form 4, which reported a grant of 5,500 PSUs instead of 6,750 PSUs.
F6 On July 17, 2025, the Reporting Person was granted 1,250 stock options vesting 100% on August 7, 2027, subject to the Reporting Person's continued service to the Issuer through the vesting date.

Remarks:

The original Form 4, filed on August 19, 2025, is being amended by this Form 4 amendment to (i) report grants of RSUs and stock options that were inadvertently omitted in the original Form 4 and (ii) correct the number of PSUs granted.