Alan Russo - 09 Aug 2022 Form 4 Insider Report for STEM, INC. (STEM)

Role
Chief Revenue Officer
Signature
/s/ Kathy Medford, Attorney-in-Fact
Issuer symbol
STEM
Transactions as of
09 Aug 2022
Net transactions value
-$1,953,068
Form type
4
Filing time
10 Aug 2022, 21:52:57 UTC
Previous filing
12 May 2022
Next filing
17 Feb 2023
SEC
View on sec.gov

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 $216,326 +31,766 +17% $6.81 218,001 09 Aug 2022 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Options Exercise $185,693 +81,803 +38% $2.27 299,804 09 Aug 2022 Direct
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $685,623 -46,641 -16% $14.70 253,163 09 Aug 2022 Direct F1
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $1,669,464 -113,569 -45% $14.70 139,594 09 Aug 2022 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 Stock Option (Right to Buy) Options Exercise $0 -31,766 -100% $0.000000 1 09 Aug 2022 Common Stock, Par Value $0.0001 Per Share 31,766 $6.81 Direct
transaction STEM Stock Option (Right to Buy) Options Exercise $0 -81,803 -100% $0.000000* 0 09 Aug 2022 Common Stock, Par Value $0.0001 Per Share 81,803 $2.27 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.65 to $14.73. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.