Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hadron Energy, Inc.HDRN · Entity 6554 | Chief Financial Officer | September 02, 2026 | September 04, 2026 |
| STEM, INC.STEM · Entity 7172 | Chief Accounting Officer | November 18, 2025 | November 19, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Hadron Energy, Inc.
Report date September 02, 2026 · Filed September 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 500,000 |
Reported balance
After 2026-09-02 transaction · row 1
1 source rowRow 1 · 2026-09-02 · Grant · Acquired 500,000 · Balance 500,000 F1: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), twenty-five percent of the Restricted Stock Unit ("RSU") shall vest on November 15, 2027, and the remaining seventy five percent will vest in twelve equal quarterly installments on February 15, May 15, August 15, and November 15, such that the grant will be fully vested on November 15, 2030. |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), twenty-five percent of the Restricted Stock Unit ("RSU") shall vest on November 15, 2027, and the remaining seventy five percent will vest in twelve equal quarterly installments on February 15, May 15, August 15, and November 15, such that the grant will be fully vested on November 15, 2030.
STEM, INC.
Report date November 18, 2025 · Filed November 19, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-11-18 transaction · row 1
1 source rowRow 1 · 2025-11-18 · Sale · Disposed 3,674 · Balance 0 |
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 02, 2026 Filed Sep 4, 2026 22:30 UTC | Hadron Energy, Inc. HDRN · Entity 6554 | GrantCommon Stock | 500,000 | $1.88 | $940,000.00 |
DisclosureSEC source: 0001900919-26-000005 · form4.xml · nonDerivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 500,000 F1 · shares: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), twenty-five percent of the Restricted Stock Unit ("RSU") shall vest on November 15, 2027, and the remaining seventy five percent will vest in twelve equal quarterly installments on February 15, May 15, August 15, and November 15, such that the grant will be fully vested on November 15, 2030. Read SEC document |
| November 18, 2025 Filed Nov 19, 2025 22:31 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 3,674 | $16.21 | $59,555.54 |
DisclosureSEC source: 0001900919-25-000007 · wk-form4_1763591492.xml · nonDerivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Read SEC document |
| November 10, 2025 Filed Nov 12, 2025 21:24 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 2,076 | $18.27 | $37,928.52 |
DisclosureSEC source: 0001900919-25-000005 · wk-form4_1762982637.xml · nonDerivative · entry 2 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,674 F2 · 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 |
| November 07, 2025 Filed Nov 12, 2025 21:24 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 5,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001900919-25-000005 · wk-form4_1762982637.xml · derivative · entry 3 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, Par Value $0.0001 Per Share · 5,750 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: Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis. F3 · derivative.exercise_date: On October 10, 2024 the reporting person was granted 5,750 RSUs, vesting 100% on November 7, 2025. F3 · derivative.expiration_date: On October 10, 2024 the reporting person was granted 5,750 RSUs, vesting 100% on November 7, 2025. Read SEC document |
| November 07, 2025 Filed Nov 12, 2025 21:24 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 5,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001900919-25-000005 · wk-form4_1762982637.xml · nonDerivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,750 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: Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis. Read SEC document |
| June 30, 2025 Filed Jul 2, 2025 22:37 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Options · Derivative | 2,250 | $0.00 Strike: $6.23 | $0.00 |
DisclosureSEC source: 0000950170-25-093347 · ownership.xml · derivative · entry 3 Shukla Rahul · CIK 0001900919 · CHIEF ACCOUNTING OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,250 Underlying: Common Stock, Par Value 0.0001 Per Share · 2,250 shares Expires 2035-06-30 F4 · derivative.exercise_date: On June 30, 2025, the Reporting Person was granted 2,250 stock options vesting in three equal annual installments, beginning on August 7, 2026. Read SEC document |
| June 30, 2025 Filed Jul 2, 2025 22:37 UTC | STEM, INC. STEM · Entity 7172 | GrantPerformance Stock Unit · Derivative | 2,250 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-093347 · ownership.xml · derivative · entry 2 Shukla Rahul · CIK 0001900919 · CHIEF ACCOUNTING OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,250 Underlying: Common Stock, Par Value 0.0001 Per Share · 2,250 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. F3 · derivative.exercise_date: On June 30, 2025, the Reporting Person was granted 5,500 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. F3 · derivative.expiration_date: On June 30, 2025, the Reporting Person was granted 5,500 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. Read SEC document |
| June 30, 2025 Filed Jul 2, 2025 22:37 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-093347 · ownership.xml · derivative · entry 1 Shukla Rahul · CIK 0001900919 · CHIEF ACCOUNTING OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,500 Underlying: Common Stock, Par Value 0.0001 Per Share · 4,500 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. F2 · derivative.exercise_date: On June 30, 2025, the Reporting Person was granted 4,500 RSUs vesting in three equal annual installments, beginning on August 7, 2026. F2 · derivative.expiration_date: On June 30, 2025, the Reporting Person was granted 4,500 RSUs vesting in three equal annual installments, beginning on August 7, 2026. Read SEC document |
| May 02, 2025 Filed May 7, 2025 01:27 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 24,567 | $0.54 | $13,290.75 |
DisclosureSEC 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 |
| March 12, 2025 Filed May 7, 2025 01:27 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 7,469 | $0.40 | $3,017.48 |
DisclosureSEC 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 May 7, 2025 01:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 16,667 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 16,667 | $0.00 | $0.00 |
DisclosureSEC 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 |
| February 25, 2025 Filed May 7, 2025 01:27 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 9,048 | $0.51 | $4,632.58 |
DisclosureSEC 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 | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 19,951 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 19,951 | $0.00 | $0.00 |
DisclosureSEC 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 |
| January 23, 2025 Filed May 7, 2025 01:27 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 3,534 | $0.65 | $2,297.10 |
DisclosureSEC 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. Read SEC document |
| January 22, 2025 Filed May 7, 2025 01:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 8,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| January 22, 2025 Filed May 7, 2025 01:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 8,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| October 10, 2024 Filed May 7, 2025 01:27 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 115,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 |
| May 28, 2024 Filed May 28, 2024 23:24 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 |
| March 11, 2024 Filed Mar 12, 2024 20:16 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 21,332 | $2.21 | $47,143.72 |
DisclosureSEC source: 0001758766-24-000050 · wk-form4_1710274551.xml · nonDerivative · entry 2 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 08, 2024 Filed Mar 12, 2024 20:16 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 19,899 | $2.19 | $43,578.81 |
DisclosureSEC source: 0001758766-24-000050 · wk-form4_1710274551.xml · nonDerivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 21,332 F1 · shares: Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the issuance of shares previously reported in the Form 4 filed on March 5, 2024. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. Read SEC document |
| March 04, 2024 Filed Mar 5, 2024 21:20 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 20,204 | $2.47 | $49,903.88 |
DisclosureSEC source: 0001758766-24-000032 · wk-form4_1709673597.xml · nonDerivative · entry 2 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,231 Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 21:20 UTC | STEM, INC. STEM · Entity 7172 | GrantCommon Stock, Par Value $0.0001 Per Share | 41,231 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000032 · wk-form4_1709673597.xml · nonDerivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,435 F1 · shares: Shares issued in connection with bonus earned under the Issuer's 2023 annual incentive plan based on attainment of corporate performance goals. Read SEC document |
| February 26, 2024 Filed Feb 26, 2024 22:50 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 8,244 | $2.65 | $21,846.60 |
DisclosureSEC source: 0001758766-24-000022 · wk-form4_1708987816.xml · nonDerivative · entry 2 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,204 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 |
| February 23, 2024 Filed Feb 26, 2024 22:50 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 19,951 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000022 · wk-form4_1708987816.xml · derivative · entry 3 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,508 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. F2 · derivative.exercise_date: On February 23, 2023, the reporting person was granted 60,459 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 23, 2024. F2 · derivative.expiration_date: On February 23, 2023, the reporting person was granted 60,459 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 23, 2024. Read SEC document |
| February 23, 2024 Filed Feb 26, 2024 22:50 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 19,951 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000022 · wk-form4_1708987816.xml · nonDerivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,448 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 15, 2024 Filed Feb 20, 2024 21:45 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 25,728 | $0.00 Strike: $3.37 | $0.00 |
DisclosureSEC source: 0001758766-24-000011 · wk-form4_1708465532.xml · derivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,728 Underlying: Common Stock, Par Value $0.0001 Per Share · 25,728 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. Read SEC document |
| January 19, 2024 Filed Jan 19, 2024 22:14 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 3,310 | $2.73 | $9,036.30 |
DisclosureSEC 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. Read SEC document |
| January 18, 2024 Filed Jan 19, 2024 22:14 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 8,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| January 18, 2024 Filed Jan 19, 2024 22:14 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 8,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 23, 2023 Filed Feb 28, 2023 22:22 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 60,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000022 · wf-form4_167762292082288.xml · derivative · entry 4 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,459 Underlying: Common Stock, Par Value $0.0001 Per Share · 60,459 shares Expires not disclosed F5 · derivative.exercise_price: Each RSU represents the contingent right to receive one (1) share of common stock. F6 · derivative.exercise_date: The RSU award vests in three equal annual installments beginning on February 23, 2024. F6 · derivative.expiration_date: The RSU award vests in three equal annual installments beginning on February 23, 2024. F4 · balance_after: Due to an error, the reporting person's February 9, 2022 RSU grant was previously understated by 14,624 RSUs. Read SEC document |
| February 21, 2023 Filed Feb 28, 2023 22:22 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 4,193 | $8.23 | $34,508.39 |
DisclosureSEC source: 0001758766-23-000022 · wf-form4_167762292082288.xml · nonDerivative · entry 2 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,807 F2 · shares: Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs. Read SEC document |
| February 21, 2023 Filed Feb 28, 2023 22:22 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000022 · wf-form4_167762292082288.xml · nonDerivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: Not disclosed 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. 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. Read SEC document |
| January 18, 2023 Filed Feb 28, 2023 22:22 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000022 · wf-form4_167762292082288.xml · derivative · entry 3 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 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. F4 · balance_after: Due to an error, the reporting person's February 9, 2022 RSU grant was previously understated by 14,624 RSUs. Read SEC document |
| February 09, 2022 Filed Feb 14, 2022 22:31 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 17,376 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000026 · wf-form4_164487780369929.xml · derivative · entry 1 Shukla Rahul · CIK 0001900919 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,376 Underlying: Common Stock, Par Value $0.0001 Per Share · 17,376 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") award represents the contingent right to receive one (1) share of common stock. F2 · derivative.exercise_date: The RSU award vests ratably over four years beginning January 18, 2021. F2 · derivative.expiration_date: The RSU award vests ratably over four years beginning January 18, 2021. 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.