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STEM

STEM, INC.

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7172
SEC CIK
0001758766
Parsed reports
395

Last 12 months

Inside the activity.

0 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202502
Dec 202500
Jan 202600
Feb 202601
Mar 202608
Apr 202600
May 202600
Jun 202600
Jul 202605
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 29, 2025 Filed Jun 18, 2025 23:14 UTC
Tappin MatthewPresident, Software Division
Exercise / conversionRestricted Stock Unit · Derivative 2,775 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-088043 · ownership.xml · derivative · entry 4

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 396,784

Underlying: Common Stock, Par Value $0.0001 Per Share · 2,775 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: On July 2, 2021, the Reporting Person was granted 11,099 RSUs vesting in four equal annual installments beginning on May 2022.

F3 · derivative.expiration_date: On July 2, 2021, the Reporting Person was granted 11,099 RSUs vesting in four equal annual installments beginning on May 2022.

Read SEC document
May 29, 2025 Filed Jun 18, 2025 23:14 UTC
Tappin MatthewPresident, Software Division
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 2,775 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-088043 · ownership.xml · nonDerivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 59,445

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 02, 2025 Filed May 6, 2025 00:32 UTC
Laureles Saul R.Chief Legal Officer
SaleCommon Stock, Par Value $0.0001 Per Share 809 $0.53 $429.58
Disclosure

SEC source: 0000950170-25-063834 · ownership.xml · nonDerivative · entry 2

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 264,792

F1 · kind: 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.

Read SEC document
May 02, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
SaleCommon Stock, Par Value $0.0001 Per Share 24,567 $0.54 $13,290.75
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · nonDerivative · entry 7

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $0.540 to $0.543. 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.

Read SEC document
May 01, 2025 Filed May 6, 2025 00:32 UTC
Laureles Saul R.Chief Legal Officer
Exercise / conversionRestricted Stock Unit · Derivative 3,453 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-063834 · ownership.xml · derivative · entry 3

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 445,543

Underlying: Common Stock, Par Value $0.0001 Per Share · 3,453 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in four annual installments beginning April 2022.

F2 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in four annual installments beginning April 2022.

Read SEC document
May 01, 2025 Filed May 6, 2025 00:32 UTC
Laureles Saul R.Chief Legal Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 3,453 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-063834 · ownership.xml · nonDerivative · entry 1

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,601

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 17, 2025 Filed Mar 20, 2025 00:32 UTC GrantRestricted Stock Unit · Derivative 62,222 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-042270 · ownership.xml · derivative · entry 1

Guruswamy Vasudevan · CIK 0002062155 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,222

Underlying: Common Stock, Par Value 0.0001 Per Share · 62,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The RSU will vest in full on May 29, 2025, subject to the Reporting Person's continued service to the Issuer through the vesting date.

F2 · derivative.expiration_date: The RSU will vest in full on May 29, 2025, subject to the Reporting Person's continued service to the Issuer through the vesting date.

Read SEC document
March 17, 2025 Filed Mar 20, 2025 00:29 UTC GrantRestricted Stock Unit · Derivative 62,222 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-042268 · ownership.xml · derivative · entry 1

Shivram Krishna · CIK 0001512863 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,222

Underlying: Common Stock, Par Value 0.0001 Per Share · 62,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The RSU will vest in full on May 29, 2025, subject to the Reporting Person's continued service to the Issuer through the vesting date.

F2 · derivative.expiration_date: The RSU will vest in full on May 29, 2025, subject to the Reporting Person's continued service to the Issuer through the vesting date.

Read SEC document
March 12, 2025 Filed Mar 17, 2025 20:30 UTC
Tappin MatthewPresident, Software Division
SaleCommon Stock, Par Value $0.0001 Per Share 13,070 $0.40 $5,280.28
Disclosure

SEC source: 0000950170-25-040338 · ownership.xml · nonDerivative · entry 4

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,670

F1 · kind: 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.

Read SEC document
March 12, 2025 Filed Mar 17, 2025 20:30 UTC
Carlson Michael JamesChief Operating Officer
SaleCommon Stock, Par Value $0.0001 Per Share 27,739 $0.40 $11,206.56
Disclosure

SEC source: 0000950170-25-040335 · ownership.xml · nonDerivative · entry 2

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 204,140

F1 · kind: 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.

Read SEC document
March 12, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
SaleCommon Stock, Par Value $0.0001 Per Share 7,469 $0.40 $3,017.48
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · nonDerivative · entry 6

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,567

F1 · kind: 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.

Read SEC document
March 11, 2025 Filed Mar 17, 2025 20:30 UTC
Laureles Saul R.Chief Legal Officer
Exercise / conversionRestricted Stock Unit · Derivative 58,334 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040336 · ownership.xml · derivative · entry 4

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 448,996

Underlying: Common Stock, Par Value $0.0001 Per Share · 58,334 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: On May 28, 2024, the reporting person was granted 175,000 RSUs vesting in three annual installments beginning March 2025.

F2 · derivative.expiration_date: On May 28, 2024, the reporting person was granted 175,000 RSUs vesting in three annual installments beginning March 2025.

Read SEC document
March 11, 2025 Filed Mar 17, 2025 20:30 UTC
Laureles Saul R.Chief Legal Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 58,334 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040336 · ownership.xml · nonDerivative · entry 2

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,148

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 11, 2025 Filed Mar 17, 2025 20:30 UTC
Tappin MatthewPresident, Software Division
Exercise / conversionRestricted Stock Unit · Derivative 29,167 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040338 · ownership.xml · derivative · entry 6

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 399,559

Underlying: Common Stock, Par Value $0.0001 Per Share · 29,167 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: On May 28, 2024, the reporting person was granted 87,500 RSUs vesting in three annual installments beginning March 2025.

F3 · derivative.expiration_date: On May 28, 2024, the reporting person was granted 87,500 RSUs vesting in three annual installments beginning March 2025.

Read SEC document
March 11, 2025 Filed Mar 17, 2025 20:30 UTC
Tappin MatthewPresident, Software Division
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 29,167 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040338 · ownership.xml · nonDerivative · entry 3

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,740

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 11, 2025 Filed Mar 17, 2025 20:30 UTC
Carlson Michael JamesChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 70,834 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040335 · ownership.xml · derivative · entry 3

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 455,686

Underlying: Common Stock, Par Value $0.0001 Per Share · 70,834 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: On May 28, 2024, the reporting person was granted 212,500 RSUs vesting in three annual installments beginning March 2025.

F2 · derivative.expiration_date: On May 28, 2024, the reporting person was granted 212,500 RSUs vesting in three annual installments beginning March 2025.

Read SEC document
March 11, 2025 Filed Mar 17, 2025 20:30 UTC
Carlson Michael JamesChief Operating Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 70,834 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040335 · ownership.xml · nonDerivative · entry 1

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,879

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 11, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
Exercise / conversionRestricted Stock Unit · Derivative 16,667 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · derivative · entry 11

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,890

Underlying: Common Stock, Par Value $0.0001 Per Share · 16,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: On May 28, 2024, the reporting person was granted 50,000 RSUs vesting in three annual installments beginning March 2025.

F6 · derivative.expiration_date: On May 28, 2024, the reporting person was granted 50,000 RSUs vesting in three annual installments beginning March 2025.

Read SEC document
March 11, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 16,667 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · nonDerivative · entry 5

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,036

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 07, 2025 Filed Mar 17, 2025 20:30 UTC
Tappin MatthewPresident, Software Division
SaleCommon Stock, Par Value $0.0001 Per Share 5,645 $0.42 $2,365.26
Disclosure

SEC source: 0000950170-25-040338 · ownership.xml · nonDerivative · entry 2

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,573

F1 · kind: 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.

Read SEC document
March 06, 2025 Filed Mar 17, 2025 20:30 UTC
Laureles Saul R.Chief Legal Officer
Exercise / conversionRestricted Stock Unit · Derivative 18,087 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040336 · ownership.xml · derivative · entry 3

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 507,330

Underlying: Common Stock, Par Value $0.0001 Per Share · 18,087 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On March 1, 2022, the reporting person was granted 72,347 RSUs vesting in four annual installments beginning March 2022.

F1 · derivative.expiration_date: On March 1, 2022, the reporting person was granted 72,347 RSUs vesting in four annual installments beginning March 2022.

Read SEC document
March 06, 2025 Filed Mar 17, 2025 20:30 UTC
Laureles Saul R.Chief Legal Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 18,087 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040336 · ownership.xml · nonDerivative · entry 1

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,814

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 06, 2025 Filed Mar 17, 2025 20:30 UTC
Tappin MatthewPresident, Software Division
Exercise / conversionRestricted Stock Unit · Derivative 13,397 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040338 · ownership.xml · derivative · entry 5

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 428,726

Underlying: Common Stock, Par Value $0.0001 Per Share · 13,397 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: On March 1, 2022, the reporting person was granted 53,590 RSUs vesting in four annual installments beginning March 2023.

F2 · derivative.expiration_date: On March 1, 2022, the reporting person was granted 53,590 RSUs vesting in four annual installments beginning March 2023.

Read SEC document
March 06, 2025 Filed Mar 17, 2025 20:30 UTC
Tappin MatthewPresident, Software Division
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 13,397 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-040338 · ownership.xml · nonDerivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,218

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 25, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
SaleCommon Stock, Par Value $0.0001 Per Share 9,048 $0.51 $4,632.58
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · nonDerivative · entry 4

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,369

F1 · kind: 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.

Read SEC document
February 24, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
Exercise / conversionRestricted Stock Unit · Derivative 19,951 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · derivative · entry 10

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,557

Underlying: Common Stock, Par Value $0.0001 Per Share · 19,951 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: On February 23, 2023, the reporting person was granted 60,459 RSUs vesting in three annual installments beginning February 2024.

F5 · derivative.expiration_date: On February 23, 2023, the reporting person was granted 60,459 RSUs vesting in three annual installments beginning February 2024.

Read SEC document
February 24, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 19,951 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · nonDerivative · entry 3

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,417

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 20, 2025 Filed Feb 21, 2025 20:46 UTC
Albert HofeldtChief Technology Officer
SaleCommon Stock, Par Value $0.0001 Per Share 13,294 $0.63 $8,331.35
Disclosure

SEC source: 0000950170-25-025180 · ownership.xml · nonDerivative · entry 2

Albert Hofeldt · CIK 0002042599 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,863

F1 · kind: 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.

Read SEC document
February 20, 2025 Filed Feb 22, 2025 01:32 UTC
Laureles Saul R.Chief Legal Officer
Exercise / conversionRestricted Stock Unit · Derivative 34,737 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025175 · ownership.xml · derivative · entry 2

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 525,417

Underlying: Common Stock, Par Value $0.0001 Per Share · 34,737 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On February 15, 2023, the reporting person was granted 105,263 RSUs vesting in three annual installments (33% / 33% / 34%) beginning February 2024.

F1 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 105,263 RSUs vesting in three annual installments (33% / 33% / 34%) beginning February 2024.

Read SEC document
February 20, 2025 Filed Feb 22, 2025 01:32 UTC
Laureles Saul R.Chief Legal Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 34,737 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025175 · ownership.xml · nonDerivative · entry 1

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,727

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 20, 2025 Filed Feb 22, 2025 01:35 UTC
Carlson Michael JamesChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 26,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025176 · ownership.xml · derivative · entry 2

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 526,520

Underlying: Common Stock, Par Value $0.0001 Per Share · 26,053 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On February 15, 2023, the reporting person was granted 78,947 RSUs vesting in three annual installments (33% / 33% / 34%) beginning February 2024.

F1 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 78,947 RSUs vesting in three annual installments (33% / 33% / 34%) beginning February 2024.

Read SEC document
February 20, 2025 Filed Feb 22, 2025 01:35 UTC
Carlson Michael JamesChief Operating Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 26,053 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025176 · ownership.xml · nonDerivative · entry 1

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 161,045

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 20, 2025 Filed Feb 22, 2025 01:31 UTC
Tappin MatthewPresident, Software Division
SaleCommon Stock, Par Value $0.0001 Per Share 8,130 $0.63 $5,095.07
Disclosure

SEC source: 0000950170-25-025173 · ownership.xml · nonDerivative · entry 2

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,821

F1 · kind: 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.

Read SEC document
February 19, 2025 Filed Feb 21, 2025 20:46 UTC
Albert HofeldtChief Technology Officer
Exercise / conversionRestricted Stock Unit · Derivative 47,138 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025180 · ownership.xml · derivative · entry 3

Albert Hofeldt · CIK 0002042599 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 476,369

Underlying: Common Stock, Par Value $0.0001 Per Share · 47,138 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: On May 9, 2023, the reporting person was granted 141,414 RSUs vesting in three annual installments beginning February 2024.

F2 · derivative.expiration_date: On May 9, 2023, the reporting person was granted 141,414 RSUs vesting in three annual installments beginning February 2024.

Read SEC document
February 19, 2025 Filed Feb 21, 2025 20:46 UTC
Albert HofeldtChief Technology Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 47,138 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025180 · ownership.xml · nonDerivative · entry 1

Albert Hofeldt · CIK 0002042599 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 199,157

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 19, 2025 Filed Feb 22, 2025 01:31 UTC
Tappin MatthewPresident, Software Division
Exercise / conversionRestricted Stock Unit · Derivative 24,316 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025173 · ownership.xml · derivative · entry 3

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 442,123

Underlying: Common Stock, Par Value $0.0001 Per Share · 24,316 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: On February 15, 2023, the reporting person was granted 73,684 RSUs vesting in three annual installments (33% / 33% / 34%) beginning February 2024.

F2 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 73,684 RSUs vesting in three annual installments (33% / 33% / 34%) beginning February 2024.

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February 19, 2025 Filed Feb 22, 2025 01:31 UTC
Tappin MatthewPresident, Software Division
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 24,316 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025173 · ownership.xml · nonDerivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,951

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 19, 2025 Filed Feb 22, 2025 01:31 UTC
Homenock KimChief People Officer
Exercise / conversionRestricted Stock Unit · Derivative 22,579 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025172 · ownership.xml · derivative · entry 2

Homenock Kim · CIK 0001941731 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 431,642

Underlying: Common Stock, Par Value $0.0001 Per Share · 22,579 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On February 15, 2023, the reporting person was granted 68,421 RSUs vesting in three annual installments (33% / 33% / 34%) beginning February 2024.

F1 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 68,421 RSUs vesting in three annual installments (33% / 33% / 34%) beginning February 2024.

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February 19, 2025 Filed Feb 22, 2025 01:31 UTC
Homenock KimChief People Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 22,579 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-025172 · ownership.xml · nonDerivative · entry 1

Homenock Kim · CIK 0001941731 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 184,568

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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January 27, 2025 Filed Jan 28, 2025 23:16 UTC GrantRestricted Stock Unit · Derivative 750,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-010017 · ownership.xml · derivative · entry 2

Narayanan Arun · CIK 0002052035 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock, Par Value $0.0001 Per Share · 750,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSU award vests ratably in three equal annual installments, with the first 33% vesting on March 7, 2026, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date.

F3 · derivative.expiration_date: The RSU award vests ratably in three equal annual installments, with the first 33% vesting on March 7, 2026, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date.

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January 27, 2025 Filed Jan 28, 2025 23:16 UTC GrantRestricted Stock Unit · Derivative 225,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-010017 · ownership.xml · derivative · entry 1

Narayanan Arun · CIK 0002052035 · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock, Par Value $0.0001 Per Share · 225,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The RSU award vests ratably in two equal annual installments, with the first 50% vesting on March 7, 2026, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date.

F2 · derivative.expiration_date: The RSU award vests ratably in two equal annual installments, with the first 50% vesting on March 7, 2026, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date.

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January 27, 2025 Filed Mar 3, 2026 00:34 UTC
Narayanan ArunChief Executive Officer
GrantPerformance Stock Unit · Derivative 16,250 $0.00 $0.00
Disclosure

SEC source: 0001758766-26-000010 · wk-form4_1772498050.xml · derivative · entry 3

Narayanan Arun · CIK 0002052035 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,250

Underlying: Common Stock, Par Value $0.0001 Per Share · 16,250 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") and performance stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: On January 27, 2025, the Reporting Person was granted 16,250 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. These PSUs were inadvertently omitted from the previous Form 4.

F4 · derivative.expiration_date: On January 27, 2025, the Reporting Person was granted 16,250 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. These PSUs were inadvertently omitted from the previous Form 4.

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January 23, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
SaleCommon Stock, Par Value $0.0001 Per Share 3,534 $0.65 $2,297.10
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · nonDerivative · entry 2

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,466

F1 · kind: 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.

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January 22, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
Exercise / conversionRestricted Stock Unit · Derivative 8,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · derivative · entry 9

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,508

Underlying: Common Stock, Par Value $0.0001 Per Share · 8,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: On February 9, 2022, the reporting person was granted 32,000 RSUs vesting in four annual installments beginning January 2023.

F4 · derivative.expiration_date: On February 9, 2022, the reporting person was granted 32,000 RSUs vesting in four annual installments beginning January 2023.

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January 22, 2025 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 8,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · nonDerivative · entry 1

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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January 14, 2025 Filed Jan 16, 2025 22:37 UTC
BUZBY DAVID SDirector · See Remarks
GrantStock Option (Right to Buy) · Derivative 66,667 $0.00 Strike: $0.84 $0.00
Disclosure

SEC source: 0000950170-25-006286 · ownership.xml · derivative · entry 1

BUZBY DAVID S · CIK 0001244203 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,667

Underlying: Common Stock, Par Value $0.0001 Per Share · 66,667 shares

Expires 2035-01-13

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November 01, 2024 Filed Nov 1, 2024 16:05 UTC
Albert HofeldtChief Technology Officer
GrantRestricted Stock Unit · Derivative 275,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000181 · wk-form4_1730491512.xml · derivative · entry 1

Albert Hofeldt · CIK 0002042599 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 523,507

Underlying: Common Stock, Par Value $0.0001 Per Share · 275,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on November 7, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on November 7, 2025.

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November 01, 2024 Filed Nov 1, 2024 20:05 UTC
Laureles Saul R.Chief Legal Officer
GrantRestricted Stock Unit · Derivative 275,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000180 · wk-form4_1730491499.xml · derivative · entry 1

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 560,154

Underlying: Common Stock, Par Value $0.0001 Per Share · 275,000 shares

Expires not disclosed

F1 · derivative.exercise_date: This RSU award vests 100% on November 7, 2025.

F1 · derivative.expiration_date: This RSU award vests 100% on November 7, 2025.

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November 01, 2024 Filed Nov 1, 2024 20:04 UTC
Homenock KimChief People Officer
GrantRestricted Stock Unit · Derivative 275,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000179 · wk-form4_1730491487.xml · derivative · entry 1

Homenock Kim · CIK 0001941731 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 454,221

Underlying: Common Stock, Par Value $0.0001 Per Share · 275,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on November 7, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on November 7, 2025.

Read SEC document
November 01, 2024 Filed Nov 1, 2024 20:04 UTC
Carlson Michael JamesChief Operating Officer
GrantRestricted Stock Unit · Derivative 175,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000178 · wk-form4_1730491473.xml · derivative · entry 1

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 452,573

Underlying: Common Stock, Par Value $0.0001 Per Share · 175,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on November 7, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on November 7, 2025.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.