Key facts
- This page summarizes Lisa L. Troe's Form 4 filing for STEM, INC. (STEM).
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 20 Jun 2023, 16:10.
Lisa L. Troe - 15 Jun 2023 Form 4 Insider Report for STEM, INC. (STEM)
- Reporting relationship
- Director
- Issuer ticker
- STEM
- Reported as of
- 15 Jun 2023
- Net transaction value
- -$39,360
- SEC form
- 4
- Accepted by SEC
- 20 Jun 2023, 16:10:20 UTC
- Prior SEC filing
- 12 Jun 2023
- Next SEC filing
- 28 May 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Kathy Medford, Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Lisa L. Troe filed Form 4 for STEM, INC. (STEM) on 20 Jun 2023.
Change
- Previous filing in this sequence was filed on 12 Jun 2023.
- Current net transaction value: -$39,360.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
STEM
transaction
Common Stock, Par Value $0.0001 Per Share
Options Exercise
- Transaction value
- $0
- Shares
- +20,498
- Change %
- +371%
- Price
- $0.000000
- Shares after
- 26,022
- Date
- 15 Jun 2023
- Ownership
- Direct
- Footnotes
- F1
STEM
transaction
Common Stock, Par Value $0.0001 Per Share
Sale
- Transaction value
- $39,360
- Shares
- -6,150
- Change %
- -24%
- Price
- $6.40
- Shares after
- 19,872
- Date
- 16 Jun 2023
- Ownership
- Direct
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
STEM
transaction
Derivative
Restricted Stock Unit
Options Exercise
- Transaction value
- $0
- Shares
- -20,498
- Change %
- -47%
- Price
- $0.000000
- Shares after
- 23,489
- Date
- 15 Jun 2023
- Ownership
- Direct
- Underlying class
- Common Stock, Par Value $0.0001 Per Share
- Underlying amount
- 20,498
- Exercise price
- Footnotes
- F1, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Rule 10b5-1 trading plan
These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.
Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).
Explanation of responses 3 footnotes
Footnote F1
Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") that were issued to the reporting person on July 28, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
Footnote F2
The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
Footnote F3
On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.