Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STEM, INC.STEM · Entity 7172 | Chief Operating Officer | April 12, 2022 | April 14, 2022 |
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.
STEM, INC.
Report date April 12, 2022 · Filed April 14, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | Direct | 323,946 |
Ending reported balance
After 2022-04-12 transaction · row 8
8 source rows · reconciled sequenceRow 1 · 2022-04-12 · Exercise / conversion · Acquired 39,843 · Balance 131,479 Row 2 · 2022-04-12 · Tax withholding · Disposed 33,545 · Balance 97,934 F1: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Row 3 · 2022-04-12 · Exercise / conversion · Acquired 1,048 · Balance 98,982 Row 4 · 2022-04-12 · Tax withholding · Disposed 883 · Balance 98,099 F1: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Row 5 · 2022-04-12 · Exercise / conversion · Acquired 235,663 · Balance 333,762 Row 6 · 2022-04-12 · Tax withholding · Disposed 144,032 · Balance 189,730 F1: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Row 7 · 2022-04-12 · Exercise / conversion · Acquired 174,624 · Balance 364,354 Row 8 · 2022-04-12 · Tax withholding · Disposed 40,408 · Balance 323,946 F1: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.81 · Expires 2030-12-03 | Direct | 0 |
Reported balance
After 2022-04-12 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-04-12 · Exercise / conversion · Disposed 39,843 · Balance 0 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.81 · Expires 2030-12-03 | Direct | 3,147 |
Reported balance
After 2022-04-12 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-04-12 · Exercise / conversion · Disposed 1,048 · Balance 3,147 F2: 25% of the shares underlying the option vest on the first anniversary date, and the remaining shares underlying the option vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.27 · Expires 2029-01-30 | Direct | 174,624 |
Reported balance
After 2022-04-12 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-04-12 · Exercise / conversion · Disposed 235,663 · Balance 174,624 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.27 · Expires 2029-01-30 | Direct | 0 |
Reported balance
After 2022-04-12 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2022-04-12 · Exercise / conversion · Disposed 174,624 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person.
F2: 25% of the shares underlying the option vest on the first anniversary date, and the remaining shares underlying the option vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date.
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 |
|---|---|---|---|---|---|---|
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 174,624 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · derivative · entry 12 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, Par Value $0.0001 Per Share · 174,624 shares Expires 2029-01-30 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 |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 235,663 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · derivative · entry 11 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,624 Underlying: Common Stock, Par Value $0.0001 Per Share · 235,663 shares Expires 2029-01-30 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 |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,048 | $0.00 Strike: $6.81 | $0.00 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · derivative · entry 10 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,147 Underlying: Common Stock, Par Value $0.0001 Per Share · 1,048 shares Expires 2030-12-03 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: 25% of the shares underlying the option vest on the first anniversary date, and the remaining shares underlying the option vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. Read SEC document |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 39,843 | $0.00 Strike: $6.81 | $0.00 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · derivative · entry 9 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, Par Value $0.0001 Per Share · 39,843 shares Expires 2030-12-03 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 |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 40,408 | $9.81 | $396,402.48 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · nonDerivative · entry 8 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 323,946 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 174,624 | $2.27 | $396,396.48 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · nonDerivative · entry 7 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364,354 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 |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 144,032 | $9.92 | $1,428,797.44 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · nonDerivative · entry 6 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,730 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 235,663 | $2.27 | $534,955.01 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · nonDerivative · entry 5 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,762 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 |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 883 | $9.92 | $8,759.36 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · nonDerivative · entry 4 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,099 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 1,048 | $6.81 | $7,136.88 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · nonDerivative · entry 3 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,982 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 |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 33,545 | $9.92 | $332,766.40 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · nonDerivative · entry 2 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,934 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| April 12, 2022 Filed Apr 14, 2022 20:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 39,843 | $6.81 | $271,330.83 |
DisclosureSEC source: 0001758766-22-000065 · wf-form4_164998241611417.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,479 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:33 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 174,000 | $7.96 Strike: $2.27 | $1,385,040.00 |
DisclosureSEC source: 0001758766-22-000055 · wf-form4_164756721395610.xml · derivative · entry 3 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 558,393 Underlying: Common Stock, Par Value $0.0001 Per Share · 174,000 shares Expires 2029-01-30 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: These options vested 25% on March 19, 2019, and the remaining options vested in equal monthly installments thereafter. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:33 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 93,165 | $7.96 | $741,593.40 |
DisclosureSEC source: 0001758766-22-000055 · wf-form4_164756721395610.xml · nonDerivative · entry 2 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,636 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:33 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 174,000 | $2.27 | $394,980.00 |
DisclosureSEC source: 0001758766-22-000055 · wf-form4_164756721395610.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,801 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 20:35 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 66,988 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000038 · wf-form4_164635773027288.xml · derivative · entry 2 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,612 Underlying: Common Stock, Par Value $0.0001 Per Share · 66,988 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") award represents the contingent right to receive one (1) share of common stock. F3 · derivative.exercise_date: The RSU award vests ratably over four years beginning March 1, 2022. F3 · derivative.expiration_date: The RSU award vests ratably over four years beginning March 1, 2022. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 20:35 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 104,668 | $0.00 Strike: $9.33 | $0.00 |
DisclosureSEC source: 0001758766-22-000038 · wf-form4_164635773027288.xml · derivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 732,993 Underlying: Common Stock, Par Value $0.0001 Per Share · 104,668 shares Expires 2032-02-29 F1 · derivative.exercise_date: The option vests in four equal annual installments beginning March 1, 2022. Read SEC document |
| January 31, 2022 Filed Feb 2, 2022 20:47 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,000 | $12.11 | $60,556.50 |
DisclosureSEC source: 0001758766-22-000018 · wf-form4_164385283114235.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,801 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $12.0 to $12.26. 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 |
| January 18, 2022 Filed Jan 20, 2022 18:42 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,000 | $14.27 | $71,374.50 |
DisclosureSEC source: 0001758766-22-000006 · wf-form4_164272212401849.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,801 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.10 to $14.53. 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 |
| January 03, 2022 Filed Jan 5, 2022 21:20 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,000 | $19.22 | $96,112.50 |
DisclosureSEC source: 0001758766-22-000002 · wf-form4_164143559336186.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,801 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $18.83 to $19.65. 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 |
| December 20, 2021 Filed Dec 22, 2021 18:58 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,000 | $18.16 | $90,788.50 |
DisclosureSEC source: 0001758766-21-000240 · wf-form4_164021750637798.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,801 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $17.93 to $18.52. 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 |
| December 06, 2021 Filed Dec 8, 2021 17:37 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 100 | $19.08 | $1,908.00 |
DisclosureSEC source: 0001758766-21-000226 · wf-form4_163900306243739.xml · nonDerivative · entry 3 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,801 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 17:37 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 3,960 | $18.62 | $73,724.51 |
DisclosureSEC source: 0001758766-21-000226 · wf-form4_163900306243739.xml · nonDerivative · entry 2 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,901 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $18.02 to $18.97. 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 |
| December 06, 2021 Filed Dec 8, 2021 17:37 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 940 | $17.45 | $16,407.32 |
DisclosureSEC source: 0001758766-21-000226 · wf-form4_163900306243739.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,861 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $17.00 to $17.97. 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 |
| November 22, 2021 Filed Nov 24, 2021 17:39 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 500 | $23.37 | $11,687.00 |
DisclosureSEC source: 0001758766-21-000208 · wf-form4_163779355811887.xml · nonDerivative · entry 2 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,801 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $23.36 to $23.39. 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 |
| November 22, 2021 Filed Nov 24, 2021 17:39 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 4,500 | $22.86 | $102,877.20 |
DisclosureSEC source: 0001758766-21-000208 · wf-form4_163779355811887.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,301 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $22.35 to $23.32. 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 |
| November 08, 2021 Filed Nov 9, 2021 19:02 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,000 | $24.94 | $124,693.00 |
DisclosureSEC source: 0001758766-21-000186 · wf-form4_163650251341691.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,801 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $24.63 to $25.40. 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 |
| October 28, 2021 Filed Nov 1, 2021 18:06 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 100 | $26.75 | $2,675.00 |
DisclosureSEC source: 0001758766-21-000175 · wf-form4_163580435044983.xml · nonDerivative · entry 4 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,801 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. Read SEC document |
| October 28, 2021 Filed Nov 1, 2021 18:06 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 200 | $25.42 | $5,084.00 |
DisclosureSEC source: 0001758766-21-000175 · wf-form4_163580435044983.xml · nonDerivative · entry 3 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,901 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F4 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $25.00 to $25.84. 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 |
| October 28, 2021 Filed Nov 1, 2021 18:06 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 800 | $24.14 | $19,310.24 |
DisclosureSEC source: 0001758766-21-000175 · wf-form4_163580435044983.xml · nonDerivative · entry 2 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,101 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $23.75 to $24.45. 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 |
| October 28, 2021 Filed Nov 1, 2021 18:06 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 3,900 | $23.15 | $90,265.89 |
DisclosureSEC source: 0001758766-21-000175 · wf-form4_163580435044983.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,901 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $22.70 to $23.68. 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 |
| August 23, 2021 Filed Aug 25, 2021 12:09 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 100,000 | $23.70 Strike: $2.27 | $2,370,000.00 |
DisclosureSEC source: 0001758766-21-000159 · wf-form4_162990778232385.xml · derivative · entry 3 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 628,325 Underlying: Common Stock, Par Value $0.0001 Per Share · 100,000 shares Expires 2029-01-30 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: These options vested 25% on March 19, 2019, and the remaining options vested in equal monthly installments thereafter. Read SEC document |
| August 23, 2021 Filed Aug 25, 2021 12:09 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 49,199 | $23.70 | $1,166,016.30 |
DisclosureSEC source: 0001758766-21-000159 · wf-form4_162990778232385.xml · nonDerivative · entry 2 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,801 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| August 23, 2021 Filed Aug 25, 2021 12:09 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 100,000 | $2.27 | $227,000.00 |
DisclosureSEC source: 0001758766-21-000159 · wf-form4_162990778232385.xml · nonDerivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 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 |
| July 02, 2021 Filed Jul 6, 2021 19:43 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 27,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-21-000122 · wf-form4_162561498648931.xml · derivative · entry 2 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,624 Underlying: Common Stock, Par Value $0.0001 Per Share · 27,624 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. F3 · derivative.exercise_date: The RSU award vests ratably over four years beginning April 28, 2021. F3 · derivative.expiration_date: The RSU award vests ratably over four years beginning April 28, 2021. Read SEC document |
| July 02, 2021 Filed Jul 6, 2021 19:43 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 65,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-21-000122 · wf-form4_162561498648931.xml · derivative · entry 1 Triplett Mark William · CIK 0001332718 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock, Par Value $0.0001 Per Share · 65,000 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 100% on April 28, 2024. F2 · derivative.expiration_date: The RSU award vests 100% on April 28, 2024. 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.