STEM

SEC source: 0001758766-24-000018 · wk-form4_1708466088.xml · derivative · entry 3

Russo Alan · CIK 0001864029 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 190,750

Underlying: Common Stock, Par Value $0.0001 Per Share · 33,000 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.

F2 · derivative.exercise_date: On February 15, 2023, the reporting person was granted 100,000 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

F2 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 100,000 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

SEC source: 0001758766-24-000018 · wk-form4_1708466088.xml · nonDerivative · entry 1

Russo Alan · CIK 0001864029 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,594

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.

SEC source: 0001758766-24-000016 · wk-form4_1708465880.xml · derivative · entry 4

Patel Prakesh · CIK 0001863629 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,320

Underlying: Common Stock, Par Value $0.0001 Per Share · 64,320 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.

SEC source: 0001758766-24-000016 · wk-form4_1708465880.xml · derivative · entry 3

Patel Prakesh · CIK 0001863629 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,147

Underlying: Common Stock, Par Value $0.0001 Per Share · 33,000 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.

F2 · derivative.exercise_date: On February 15, 2023, the reporting person was granted 100,000 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

F2 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 100,000 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

SEC source: 0001758766-24-000016 · wk-form4_1708465880.xml · nonDerivative · entry 1

Patel Prakesh · CIK 0001863629 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,467

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.

SEC source: 0001758766-24-000019 · wk-form4_1708466237.xml · derivative · entry 4

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,048

Underlying: Common Stock, Par Value $0.0001 Per Share · 90,048 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.

SEC source: 0001758766-24-000019 · wk-form4_1708466237.xml · derivative · entry 3

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,694

Underlying: Common Stock, Par Value $0.0001 Per Share · 34,736 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 84,210 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

F2 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 84,210 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

SEC source: 0001758766-24-000019 · wk-form4_1708466237.xml · nonDerivative · entry 1

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,962

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.

SEC source: 0001758766-24-000020 · wk-form4_1708466371.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,925

Underlying: Common Stock, Par Value $0.0001 Per Share · 172,925 shares

Expires 2034-02-15

F1 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.

SEC source: 0001758766-24-000012 · wk-form4_1708465604.xml · derivative · entry 4

BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,320

Underlying: Common Stock, Par Value $0.0001 Per Share · 64,320 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.

SEC source: 0001758766-24-000012 · wk-form4_1708465604.xml · derivative · entry 3

BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 540,772

Underlying: Common Stock, Par Value $0.0001 Per Share · 48,631 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 147,368 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

F2 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 147,368 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

SEC source: 0001758766-24-000012 · wk-form4_1708465604.xml · nonDerivative · entry 1

BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 297,181

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.

SEC source: 0001758766-24-000015 · wk-form4_1708465820.xml · derivative · entry 3

Homenock Kim · CIK 0001941731 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,456

Underlying: Common Stock, Par Value $0.0001 Per Share · 51,456 shares

Expires 2034-02-15

F2 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.

SEC source: 0001758766-24-000015 · wk-form4_1708465820.xml · derivative · entry 2

Homenock Kim · CIK 0001941731 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,910

Underlying: Common Stock, Par Value $0.0001 Per Share · 22,578 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 on February 15, 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 on February 15, 2024.

SEC source: 0001758766-24-000015 · wk-form4_1708465820.xml · nonDerivative · entry 1

Homenock Kim · CIK 0001941731 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,309

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.

SEC source: 0001758766-24-000014 · wk-form4_1708465738.xml · derivative · entry 6

Schaefer Robert · CIK 0001916675 · President, Transformational

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,320

Underlying: Common Stock, Par Value $0.0001 Per Share · 21,710 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 15, 2023, the reporting person was granted 65,789 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

F5 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 65,789 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

SEC source: 0001758766-24-000014 · wk-form4_1708465738.xml · nonDerivative · entry 1

Schaefer Robert · CIK 0001916675 · President, Transformational

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 749,541

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.

SEC source: 0001758766-24-000013 · wk-form4_1708465676.xml · derivative · entry 4

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,024

Underlying: Common Stock, Par Value $0.0001 Per Share · 45,024 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.

SEC source: 0001758766-24-000013 · wk-form4_1708465676.xml · derivative · entry 3

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,112

Underlying: Common Stock, Par Value $0.0001 Per Share · 24,315 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 on February 15, 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 on February 15, 2024.

SEC source: 0001758766-24-000013 · wk-form4_1708465676.xml · nonDerivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,870

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.

SEC source: 0001758766-24-000010 · wk-form4_1708465381.xml · derivative · entry 4

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,344

Underlying: Common Stock, Par Value $0.0001 Per Share · 109,344 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025.

SEC source: 0001758766-24-000010 · wk-form4_1708465381.xml · derivative · entry 3

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,162

Underlying: Common Stock, Par Value $0.0001 Per Share · 26,052 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 78,947 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

F2 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 78,947 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024.

SEC source: 0001758766-24-000010 · wk-form4_1708465381.xml · nonDerivative · entry 1

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,319

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.

SEC source: 0001758766-24-000008 · wk-form4_1708121536.xml · nonDerivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,555

F1 · kind: 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.

SEC source: 0001758766-24-000007 · wk-form4_1706660505.xml · nonDerivative · entry 2

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,226

F2 · 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.

SEC source: 0001758766-24-000007 · wk-form4_1706660505.xml · derivative · entry 3

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,430

Underlying: Common Stock, Par Value $0.0001 Per Share · 34,325 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_price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") granted on July 28, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.

F3 · derivative.exercise_date: On July 28, 2022, the reporting person was granted 34,325 RSUs vesting 100% on January 28, 2024.

F3 · derivative.expiration_date: On July 28, 2022, the reporting person was granted 34,325 RSUs vesting 100% on January 28, 2024.

SEC source: 0001758766-24-000007 · wk-form4_1706660505.xml · nonDerivative · entry 1

Laureles Saul R. · CIK 0001672864 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,119

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 · price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") granted on July 28, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.

SEC source: 0001758766-24-000004 · wk-form4_1705702480.xml · nonDerivative · entry 2

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,497

F2 · shares: Represents shares of common stock 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.

SEC source: 0001758766-24-000004 · wk-form4_1705702480.xml · derivative · entry 3

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,459

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.

F1 · derivative.exercise_price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on February 9, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.

F3 · derivative.exercise_date: On February 9, 2022, the reporting person was granted 32,000 RSUs vesting in four equal annual installments beginning on January 18, 2023.

F3 · derivative.expiration_date: On February 9, 2022, the reporting person was granted 32,000 RSUs vesting in four equal annual installments beginning on January 18, 2023.

SEC source: 0001758766-24-000004 · wk-form4_1705702480.xml · nonDerivative · entry 1

Shukla Rahul · CIK 0001900919 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,807

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 · price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on February 9, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.

SEC source: 0001758766-24-000002 · wk-form4_1704320568.xml · nonDerivative · entry 2

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,111

F2 · shares: Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs. Such sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001758766-24-000002 · wk-form4_1704320568.xml · derivative · entry 3

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,427

Underlying: Common Stock, Par Value $0.0001 Per Share · 14,318 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_price: 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 13, 2023 under the Stem, Inc. 2021 Equity Incentive Plan.

F3 · derivative.exercise_date: On July 13, 2023, the reporting person was granted 14,318 RSUs vesting 100% on December 31, 2023.

F3 · derivative.expiration_date: On July 13, 2023, the reporting person was granted 14,318 RSUs vesting 100% on December 31, 2023.

SEC source: 0001758766-24-000002 · wk-form4_1704320568.xml · nonDerivative · entry 1

Tappin Matthew · CIK 0001986259 · President, Asset Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,318

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 · price: 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 13, 2023 under the Stem, Inc. 2021 Equity Incentive Plan.

SEC source: 0001758766-23-000136 · wk-form4_1699880818.xml · derivative · entry 1

Birns Ira M · CIK 0001396673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,836

Underlying: Common Stock, Par Value $0.0001 Per Share · 13,836 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one (1) share of common stock, par value $0.0001 per share.

F2 · derivative.exercise_date: The RSU award vests 100% on June 7, 2024.

F2 · derivative.expiration_date: The RSU award vests 100% on June 7, 2024.

SEC source: 0001758766-23-000138 · wk-form4a_1703250438.xml · derivative · entry 1

Birns Ira M · CIK 0001396673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,184

Underlying: Common Stock, Par Value $0.0001 Per Share · 24,184 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one (1) share of common stock, par value $0.0001 per share.

F2 · shares: This Form 4/A is being filed to correct an error in the number of RSUs acquired by the reporting person as reported in the original Form 4 filed on November 13, 2023.

F3 · derivative.exercise_date: The RSU award vests 100% on June 7, 2024.

F3 · derivative.expiration_date: The RSU award vests 100% on June 7, 2024.

SEC source: 0001758766-23-000124 · wk-form4_1695939329.xml · nonDerivative · entry 2

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,267

F2 · shares: Represent shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. This sale is mandated by the Issuer's equity incentive plan, which requires the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent discretionary trades by the Reporting Person.

SEC source: 0001758766-23-000124 · wk-form4_1695939329.xml · derivative · entry 3

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,214

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_price: 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 September 26, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.

F3 · derivative.exercise_date: The RSU award vests in four equal annual installments beginning on September 26, 2023.

F3 · derivative.expiration_date: The RSU award vests in four equal annual installments beginning on September 26, 2023.

SEC source: 0001758766-23-000124 · wk-form4_1695939329.xml · nonDerivative · entry 1

Carlson Michael James · CIK 0001948274 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,089

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 · price: 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 September 26, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.

SEC source: 0001758766-23-000122 · wk-form4_1695070263.xml · nonDerivative · entry 1

BUZBY DAVID S · CIK 0001244203 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By the David S. Buzby Revocable Trust

Disclosed balance after: 620,711

F1 · ownership.nature: Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee.

SEC source: 0001758766-23-000116 · wk-form4_1692047205.xml · nonDerivative · entry 1

Russo Alan · CIK 0001864029 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,594

SEC source: 0001758766-24-000130 · wk-form4a_1718050371.xml · nonDerivative · entry 2

BUZBY DAVID S · CIK 0001244203 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By the David S. Buzby Revocable Trust

Disclosed balance after: 641,209

F1 · shares: On June 20, 2023, the reporting person transferred 20,498 shares of common stock to the 2016 David S. Buzby Revocable Trust (of which the reporting person is sole trustee) for no consideration.

F2 · ownership.nature: Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee.

SEC source: 0001758766-24-000130 · wk-form4a_1718050371.xml · nonDerivative · entry 1

BUZBY DAVID S · CIK 0001244203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: On June 20, 2023, the reporting person transferred 20,498 shares of common stock to the 2016 David S. Buzby Revocable Trust (of which the reporting person is sole trustee) for no consideration.

SEC source: 0001758766-23-000097 · wf-form4_168729180045627.xml · nonDerivative · entry 2

TROE LISA L · CIK 0001603830 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 19,872

F2 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001758766-23-000096 · wf-form4_168729171815658.xml · derivative · entry 2

Woodward Jane · CIK 0001861914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,489

Underlying: Common Stock, Par Value $0.0001 Per Share · 20,498 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_price: 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.

F2 · derivative.exercise_date: On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.

F2 · derivative.expiration_date: On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.

SEC source: 0001758766-23-000096 · wf-form4_168729171815658.xml · nonDerivative · entry 1

Woodward Jane · CIK 0001861914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,022

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 · price: 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.

SEC source: 0001758766-23-000099 · wf-form4_168729208059217.xml · derivative · entry 3

Tammineedi Anil · CIK 0001861916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,489

Underlying: Common Stock, Par Value $0.0001 Per Share · 20,498 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_price: 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.

F3 · derivative.exercise_date: On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.

F3 · derivative.expiration_date: On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.

SEC source: 0001758766-23-000099 · wf-form4_168729208059217.xml · nonDerivative · entry 1

Tammineedi Anil · CIK 0001861916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,022

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 · price: 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.

SEC source: 0001758766-23-000098 · wf-form4_168729192377828.xml · derivative · entry 2

TYSON LAURA D · CIK 0001183429 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,489

Underlying: Common Stock, Par Value $0.0001 Per Share · 20,498 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_price: 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.

F2 · derivative.exercise_date: On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.

F2 · derivative.expiration_date: On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.

SEC source: 0001758766-23-000098 · wf-form4_168729192377828.xml · nonDerivative · entry 1

TYSON LAURA D · CIK 0001183429 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,022

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 · price: 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.

SEC source: 0001758766-23-000100 · wf-form4_168729219535251.xml · derivative · entry 3

BUZBY DAVID S · CIK 0001244203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,489

Underlying: Common Stock, Par Value $0.0001 Per Share · 20,498 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_price: 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.

F3 · derivative.exercise_date: On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.

F3 · derivative.expiration_date: On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.