Key facts
- This page summarizes Robert Schaefer's Form 4 filing for STEM, INC. (STEM).
- 4 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 05 Mar 2024, 16:23.
Robert Schaefer - 01 Mar 2024 Form 4 Insider Report for STEM, INC. (STEM)
- Reporting relationship
- President, Transformational
- Issuer ticker
- STEM
- Reported as of
- 01 Mar 2024
- Net transaction value
- -$14,744
- SEC form
- 4
- Accepted by SEC
- 05 Mar 2024, 16:23:48 UTC
- Prior SEC filing
- 20 Feb 2024
- Next SEC filing
- 12 Mar 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Chen Zhang, attorney-in-fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Robert Schaefer filed Form 4 for STEM, INC. (STEM) on 05 Mar 2024.
Change
- Previous filing in this sequence was filed on 20 Feb 2024.
- Current net transaction value: -$14,744.
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
- +16,747
- Change %
- +2.3%
- Price
- $0.000000
- Shares after
- 758,422
- Date
- 01 Mar 2024
- Ownership
- Direct
STEM
transaction
Common Stock, Par Value $0.0001 Per Share
Award
- Transaction value
- $0
- Shares
- +101,096
- Change %
- +13%
- Price
- $0.000000
- Shares after
- 859,518
- Date
- 01 Mar 2024
- Ownership
- Direct
- Footnotes
- F4
STEM
transaction
Common Stock, Par Value $0.0001 Per Share
Sale
- Transaction value
- $14,744
- Shares
- -5,945
- Change %
- -0.69%
- Price
- $2.48
- Shares after
- 853,573
- Date
- 04 Mar 2024
- Ownership
- Direct
- Footnotes
- F5
STEM
holding
Common Stock, Par Value $0.0001 Per Share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 268,943
- Date
- 01 Mar 2024
- Ownership
- By 2021 N.R. Schaefer Legacy Trust
- Footnotes
- F1
STEM
holding
Common Stock, Par Value $0.0001 Per Share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 268,943
- Date
- 01 Mar 2024
- Ownership
- By 2021 K.B. Schaefer Legacy Trust
- Footnotes
- F2
STEM
holding
Common Stock, Par Value $0.0001 Per Share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 537,886
- Date
- 01 Mar 2024
- Ownership
- By Trust
- Footnotes
- F3
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
- -16,747
- Change %
- -18%
- Price
- $0.000000
- Shares after
- 77,573
- Date
- 01 Mar 2024
- Ownership
- Direct
- Underlying class
- Common Stock, Par Value $0.0001 Per Share
- Underlying amount
- 16,747
- Exercise price
- $0.000000
- Footnotes
- F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 6 footnotes
Footnote F1
Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor.
Footnote F2
Held by the 2021 K.B. Schaefer Legacy Trust, of which the reporting person is the settlor.
Footnote F3
Held by the Schaefer Descendants Trust, of which the reporting person is the settlor.
Footnote F4
Shares issued in connection with bonus earned under the Issuer's 2023 annual incentive plan based on attainment of corporate performance goals.
Footnote F5
Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.
Footnote F6
On March 1, 2022, the reporting person was granted 66,988 RSUs vesting in four equal annual installments beginning on March 1, 2023.