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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
November 01, 2024 Filed Nov 1, 2024 20:04 UTC
Tappin MatthewPresident, Software Division
GrantRestricted Stock Unit · Derivative 300,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000177 · wk-form4_1730491461.xml · derivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Software Division

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 466,439

Underlying: Common Stock, Par Value $0.0001 Per Share · 300,000 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 5, 2024 01:03 UTC
Carlson Michael JamesChief Operating Officer
GrantRestricted Stock Unit · Derivative 100,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000182 · wk-form4_1730768597.xml · derivative · entry 1

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 552,573

Underlying: Common Stock, Par Value $0.0001 Per Share · 100,000 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
October 10, 2024 Filed May 7, 2025 01:27 UTC
Shukla RahulChief Accounting Officer
GrantRestricted Stock Unit · Derivative 115,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-064859 · ownership.xml · derivative · entry 8

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 221,508

Underlying: Common Stock, Par Value $0.0001 Per Share · 115,000 shares

Expires not disclosed

F3 · derivative.exercise_date: On October 10, 2024, the reporting person was granted 115,000 RSUs vesting in October 2025.

F3 · derivative.expiration_date: On October 10, 2024, the reporting person was granted 115,000 RSUs vesting in October 2025.

Read SEC document
September 26, 2024 Filed Sep 30, 2024 20:18 UTC
Carlson Michael JamesChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 6,089 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000168 · wk-form4_1727727498.xml · derivative · entry 2

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,573

Underlying: Common Stock, Par Value $0.0001 Per Share · 6,089 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 September 26, 2022, the reporting person was granted 24,356 RSUs vesting in four equal annual installments beginning on September 26, 2023.

F1 · derivative.expiration_date: On September 26, 2022, the reporting person was granted 24,356 RSUs vesting in four equal annual installments beginning on September 26, 2023.

Read SEC document
September 26, 2024 Filed Sep 30, 2024 20:18 UTC
Carlson Michael JamesChief Operating Officer
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 6,089 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000168 · wk-form4_1727727498.xml · nonDerivative · entry 1

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,992

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
September 03, 2024 Filed Sep 3, 2024 16:36 UTC
Hole Spencer DoranChief Financial Officer & EVP
GrantStock Option (Right to Buy) · Derivative 277,778 $0.00 Strike: $0.58 $0.00
Disclosure

SEC source: 0001758766-24-000164 · wk-form4_1725395804.xml · derivative · entry 3

Hole Spencer Doran · CIK 0001783379 · Chief Financial Officer & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,778

Underlying: Common Stock, Par Value $0.0001 Per Share · 277,778 shares

Expires not disclosed

F3 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%).

F3 · derivative.expiration_date: The option award vests in three annual installments (33% / 33% / 34%).

Read SEC document
September 03, 2024 Filed Sep 3, 2024 16:36 UTC
Hole Spencer DoranChief Financial Officer & EVP
GrantRestricted Stock Unit · Derivative 833,333 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000164 · wk-form4_1725395804.xml · derivative · entry 2

Hole Spencer Doran · CIK 0001783379 · Chief Financial Officer & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,277,777

Underlying: Common Stock, Par Value $0.0001 Per Share · 833,333 shares

Expires not disclosed

F2 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%).

F2 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%).

Read SEC document
September 03, 2024 Filed Sep 3, 2024 16:36 UTC
Hole Spencer DoranChief Financial Officer & EVP
GrantRestricted Stock Unit · Derivative 444,444 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000164 · wk-form4_1725395804.xml · derivative · entry 1

Hole Spencer Doran · CIK 0001783379 · Chief Financial Officer & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 444,444

Underlying: Common Stock, Par Value $0.0001 Per Share · 444,444 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
August 28, 2024 Filed Aug 30, 2024 16:14 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001758766-24-000160 · wk-form4_1725048880.xml · derivative · entry 1

Cunningham Gerard · CIK 0002019923 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock, Par Value $0.0001 Per Share · 45,000 shares

Expires 2034-08-28

F1 · derivative.exercise_date: The option award vests in three equal monthly installments, subject to the reporting person's continuing service as Chair of the Software Strategy Working Group on the applicable vesting date.

Read SEC document
August 28, 2024 Filed Aug 30, 2024 20:15 UTC
BUZBY DAVID SDirector · Executive Chair of the Board
GrantStock Option (Right to Buy) · Derivative 400,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001758766-24-000161 · wk-form4_1725048917.xml · derivative · entry 1

BUZBY DAVID S · CIK 0001244203 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock, Par Value $0.0001 Per Share · 400,000 shares

Expires 2034-08-28

F1 · derivative.exercise_date: The option award vests in six equal monthly installments, subject to the reporting person's continuing service as Executive Chair of the Board on the applicable vesting date.

Read SEC document
July 18, 2024 Filed Jul 22, 2024 16:10 UTC GrantRestricted Stock Unit · Derivative 75,727 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000143 · wk-form4_1721679039.xml · derivative · entry 1

Cunningham Gerard · CIK 0002019923 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,963

Underlying: Common Stock, Par Value $0.0001 Per Share · 75,727 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on June 26, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on June 26, 2025.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 16:13 UTC Exercise / conversionRestricted Stock Unit · Derivative 12,138 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000133 · wk-form4_1718050408.xml · derivative · entry 2

Cunningham Gerard · CIK 0002019923 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,236

Underlying: Common Stock, Par Value $0.0001 Per Share · 12,138 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.

F1 · derivative.exercise_date: On April 19, 2024, the reporting person was granted 12,138 RSUs vesting 100% on June 7, 2024.

F1 · derivative.expiration_date: On April 19, 2024, the reporting person was granted 12,138 RSUs vesting 100% on June 7, 2024.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 16:13 UTC Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 12,138 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000133 · wk-form4_1718050408.xml · nonDerivative · entry 1

Cunningham Gerard · CIK 0002019923 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,138

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
June 07, 2024 Filed Jun 10, 2024 16:12 UTC Exercise / conversionRestricted Stock Unit · Derivative 23,489 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000129 · wk-form4_1718050358.xml · derivative · entry 2

Woodward Jane · CIK 0001861914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,236

Underlying: Common Stock, Par Value $0.0001 Per Share · 23,489 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 June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

F1 · derivative.expiration_date: On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 16:12 UTC Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 23,489 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000129 · wk-form4_1718050358.xml · nonDerivative · entry 1

Woodward Jane · CIK 0001861914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,511

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
June 07, 2024 Filed Jun 10, 2024 20:13 UTC Exercise / conversionRestricted Stock Unit · Derivative 23,489 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000134 · wk-form4_1718050420.xml · derivative · entry 3

Tammineedi Anil · CIK 0001861916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,236

Underlying: Common Stock, Par Value $0.0001 Per Share · 23,489 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 June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

F2 · derivative.expiration_date: On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 20:13 UTC Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 23,489 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000134 · wk-form4_1718050420.xml · nonDerivative · entry 1

Tammineedi Anil · CIK 0001861916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,511

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
June 07, 2024 Filed Jun 10, 2024 20:13 UTC Exercise / conversionRestricted Stock Unit · Derivative 23,489 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000131 · wk-form4_1718050382.xml · derivative · entry 2

TYSON LAURA D · CIK 0001183429 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,236

Underlying: Common Stock, Par Value $0.0001 Per Share · 23,489 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 June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

F1 · derivative.expiration_date: On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 20:13 UTC Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 23,489 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000131 · wk-form4_1718050382.xml · nonDerivative · entry 1

TYSON LAURA D · CIK 0001183429 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,511

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
June 07, 2024 Filed Jun 10, 2024 20:14 UTC Exercise / conversionRestricted Stock Unit · Derivative 23,489 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000135 · wk-form4_1718050433.xml · derivative · entry 3

BUZBY DAVID S · CIK 0001244203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,236

Underlying: Common Stock, Par Value $0.0001 Per Share · 23,489 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 June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

F1 · derivative.expiration_date: On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 20:14 UTC Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 23,489 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000135 · wk-form4_1718050433.xml · nonDerivative · entry 1

BUZBY DAVID S · CIK 0001244203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,789

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
June 07, 2024 Filed Jun 10, 2024 16:14 UTC Exercise / conversionRestricted Stock Unit · Derivative 23,489 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000136 · wk-form4_1718050446.xml · derivative · entry 7

MORGAN MICHAEL C · CIK 0001250209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,236

Underlying: Common Stock, Par Value $0.0001 Per Share · 23,489 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 June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

F6 · derivative.expiration_date: On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 16:14 UTC Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 23,489 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000136 · wk-form4_1718050446.xml · nonDerivative · entry 1

MORGAN MICHAEL C · CIK 0001250209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,987

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
June 07, 2024 Filed Jun 10, 2024 20:14 UTC
Birns Ira MDirector
Exercise / conversionRestricted Stock Unit · Derivative 24,184 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000137 · wk-form4_1718050457.xml · derivative · entry 2

Birns Ira M · CIK 0001396673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,236

Underlying: Common Stock, Par Value $0.0001 Per Share · 24,184 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 November 6, 2023, the reporting person was granted 24,184 RSUs vesting 100% on June 7, 2024.

F1 · derivative.expiration_date: On November 6, 2023, the reporting person was granted 24,184 RSUs vesting 100% on June 7, 2024.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 20:14 UTC
Birns Ira MDirector
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 24,184 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000137 · wk-form4_1718050457.xml · nonDerivative · entry 1

Birns Ira M · CIK 0001396673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,184

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
June 07, 2024 Filed Jun 10, 2024 20:13 UTC
Daley AdamDirector
Exercise / conversionRestricted Stock Unit · Derivative 23,489 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000132 · wk-form4_1718050394.xml · derivative · entry 4

Daley Adam · CIK 0001821227 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,236

Underlying: Common Stock, Par Value $0.0001 Per Share · 23,489 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 June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

F3 · derivative.expiration_date: On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 20:13 UTC
Daley AdamDirector
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 23,489 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000132 · wk-form4_1718050394.xml · nonDerivative · entry 1

Daley Adam · CIK 0001821227 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,760

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 29, 2024 Filed May 30, 2024 16:31 UTC GrantRestricted Stock Unit · Derivative 110,236 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000120 · wk-form4_1717101107.xml · derivative · entry 1

Cunningham Gerard · CIK 0002019923 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,374

Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025.

Read SEC document
May 29, 2024 Filed May 30, 2024 16:31 UTC GrantRestricted Stock Unit · Derivative 110,236 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000119 · wk-form4_1717101092.xml · derivative · entry 1

Woodward Jane · CIK 0001861914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,725

Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025.

Read SEC document
May 29, 2024 Filed May 30, 2024 20:32 UTC GrantRestricted Stock Unit · Derivative 110,236 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000122 · wk-form4_1717101138.xml · derivative · entry 1

Tammineedi Anil · CIK 0001861916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,725

Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025.

Read SEC document
May 29, 2024 Filed May 30, 2024 20:32 UTC GrantRestricted Stock Unit · Derivative 110,236 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000124 · wk-form4_1717101169.xml · derivative · entry 1

TYSON LAURA D · CIK 0001183429 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,725

Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025.

Read SEC document
May 29, 2024 Filed May 30, 2024 20:33 UTC GrantRestricted Stock Unit · Derivative 110,236 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000125 · wk-form4_1717101184.xml · derivative · entry 1

BUZBY DAVID S · CIK 0001244203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,725

Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025.

Read SEC document
May 29, 2024 Filed May 30, 2024 16:33 UTC GrantRestricted Stock Unit · Derivative 110,236 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000126 · wk-form4_1717101197.xml · derivative · entry 1

MORGAN MICHAEL C · CIK 0001250209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,725

Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025.

Read SEC document
May 29, 2024 Filed May 30, 2024 20:32 UTC
Birns Ira MDirector
GrantRestricted Stock Unit · Derivative 110,236 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000123 · wk-form4_1717101154.xml · derivative · entry 1

Birns Ira M · CIK 0001396673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,420

Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025.

Read SEC document
May 29, 2024 Filed May 30, 2024 20:32 UTC
Daley AdamDirector
GrantRestricted Stock Unit · Derivative 110,236 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000121 · wk-form4_1717101122.xml · derivative · entry 1

Daley Adam · CIK 0001821227 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,725

Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025.

F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 23:24 UTC
Shukla RahulChief Accounting Officer
GrantRestricted Stock Unit · Derivative 50,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000094 · wk-form4_1716938680.xml · derivative · entry 1

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,508

Underlying: Common Stock, Par Value $0.0001 Per Share · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 19:26 UTC
Russo AlanChief Revenue Officer
GrantRestricted Stock Unit · Derivative 125,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000101 · wk-form4_1716938768.xml · derivative · entry 1

Russo Alan · CIK 0001864029 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 229,749

Underlying: Common Stock, Par Value $0.0001 Per Share · 125,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 19:25 UTC
Patel PrakeshChief Strategy Officer
GrantRestricted Stock Unit · Derivative 125,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000095 · wk-form4_1716938693.xml · derivative · entry 1

Patel Prakesh · CIK 0001863629 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,947

Underlying: Common Stock, Par Value $0.0001 Per Share · 125,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 23:25 UTC
Laureles Saul R.Chief Legal Officer
GrantRestricted Stock Unit · Derivative 175,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000099 · wk-form4_1716938743.xml · derivative · entry 1

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 285,154

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

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 23:25 UTC
Carrington John EugeneDirector · CEO and Director
GrantRestricted Stock Unit · Derivative 389,466 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000096 · wk-form4_1716938704.xml · derivative · entry 1

Carrington John Eugene · CIK 0001434884 · Director · CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,094,878

Underlying: Common Stock, Par Value $0.0001 Per Share · 389,466 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 19:25 UTC
BUSH WILLIAM JOHNChief Financial Officer
GrantRestricted Stock Unit · Derivative 125,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000097 · wk-form4_1716938717.xml · derivative · entry 1

BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 573,380

Underlying: Common Stock, Par Value $0.0001 Per Share · 125,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 23:26 UTC
Carlson Michael JamesChief Operating Officer
GrantRestricted Stock Unit · Derivative 212,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000102 · wk-form4_1716938779.xml · derivative · entry 1

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,662

Underlying: Common Stock, Par Value $0.0001 Per Share · 212,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 23:26 UTC
Homenock KimChief People Officer
GrantRestricted Stock Unit · Derivative 100,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000100 · wk-form4_1716938756.xml · derivative · entry 1

Homenock Kim · CIK 0001941731 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,221

Underlying: Common Stock, Par Value $0.0001 Per Share · 100,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 28, 2024 23:25 UTC
Tappin MatthewPresident, Asset Management
GrantRestricted Stock Unit · Derivative 87,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000098 · wk-form4_1716938730.xml · derivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,439

Underlying: Common Stock, Par Value $0.0001 Per Share · 87,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.

Read SEC document
May 28, 2024 Filed May 30, 2024 20:31 UTC
Tappin MatthewPresident, Asset Management
SaleCommon Stock, Par Value $0.0001 Per Share 1,388 $1.32 $1,832.16
Disclosure

SEC source: 0001758766-24-000118 · wk-form4_1717101077.xml · nonDerivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 16,635

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2023.

Read SEC document
May 24, 2024 Filed May 28, 2024 20:49 UTC
Tappin MatthewPresident, Asset Management
Exercise / conversionRestricted Stock Unit · Derivative 2,775 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000093 · wk-form4_1716929339.xml · derivative · entry 2

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,939

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.

F1 · derivative.exercise_date: On July 2, 2021, the reporting person was granted 11,099 RSUs vesting in four equal annual installments beginning on May 24, 2022.

F1 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 11,099 RSUs vesting in four equal annual installments beginning on May 24, 2022.

Read SEC document
May 24, 2024 Filed May 28, 2024 20:49 UTC
Tappin MatthewPresident, Asset Management
Exercise / conversionCommon Stock, Par Value $0.0001 Per Share 2,775 $0.00 $0.00
Disclosure

SEC source: 0001758766-24-000093 · wk-form4_1716929339.xml · nonDerivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,023

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, 2024 Filed May 7, 2024 11:49 UTC
Carrington John EugeneDirector · CEO and Director
SaleCommon Stock, Par Value $0.0001 Per Share 194,171 $1.85 $359,216.35
Disclosure

SEC source: 0001758766-24-000092 · wk-form4_1715082587.xml · nonDerivative · entry 1

Carrington John Eugene · CIK 0001434884 · Director · CEO and Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 506,585

F1 · shares: Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs reported in the Form 4 filed on April 30, 2024. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.

Read SEC document
April 30, 2024 Filed Apr 30, 2024 17:21 UTC
Russo AlanChief Revenue Officer
SaleCommon Stock, Par Value $0.0001 Per Share 24,142 $1.87 $45,145.54
Disclosure

SEC source: 0001758766-24-000080 · wk-form4_1714512051.xml · nonDerivative · entry 3

Russo Alan · CIK 0001864029 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,910

F1 · shares: 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
April 30, 2024 Filed Apr 30, 2024 17:22 UTC
Patel PrakeshChief Strategy Officer
SaleCommon Stock, Par Value $0.0001 Per Share 23,863 $1.87 $44,623.81
Disclosure

SEC source: 0001758766-24-000084 · wk-form4_1714512126.xml · nonDerivative · entry 3

Patel Prakesh · CIK 0001863629 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,668

F1 · shares: 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

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