Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| General Fusion Group Ltd.SVAC · Entity 5323 | Director | September 03, 2025 | September 04, 2025 |
| STEM, INC.STEM · Entity 7172 | Director | August 07, 2026 | August 12, 2026 |
| Spring Valley Acquisition Corp. IVSVIV · Entity 5906 | Director | February 09, 2026 | February 10, 2026 |
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.
General Fusion Group Ltd.
Report date September 03, 2025 · Filed September 04, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2025-09-03 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The shares of Class B ordinary shares have no expiration date and will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-289294). |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Class B ordinary shares have no expiration date and will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-289294).
STEM, INC.
Report date August 07, 2026 · Filed August 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | Direct | 7,486 |
Reported balance
After 2026-08-07 transaction · row 1
1 source rowRow 1 · 2026-08-07 · Exercise / conversion · Acquired 7,486 · Balance 7,486 F1: Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-08-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-08-07 · Exercise / conversion · Disposed 7,486 · Balance 0 F1: Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis. F3: On June 4, 2025, the reporting person was granted 7,486 RSUs vesting 100% on August 7, 2026. |
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | IndirectBy the David S. Buzby Revocable Trust | 38,745 |
Reported balance
Holding disclosure · report date 2026-08-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 38,745 F2: Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee. |
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | IndirectBy the David Buzby Roth IRA | 4,815 |
Reported balance
Holding disclosure · report date 2026-08-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,815 |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis.
F2: Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee.
F3: On June 4, 2025, the reporting person was granted 7,486 RSUs vesting 100% on August 7, 2026.
Spring Valley Acquisition Corp. IV
Report date February 09, 2026 · Filed February 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-02-09 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The shares of Class B ordinary shares have no expiration date and will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-292884). |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Class B ordinary shares have no expiration date and will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-292884).
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Spring Valley Acquisition Corp. II
Report date February 24, 2026 · Filed February 26, 2026
Section 16 reporting ended · disclosed 2026-02-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A ordinary sharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2026-02-24 transaction · row 1
1 source rowRow 1 · 2026-02-24 · Disposition to issuer · Disposed 40,000 · Balance 0 F1: Disposed of in an automatic exchange for shares of common stock of Eagle Nuclear Energy Corp. ("New Eagle") in connection with the consummation of the business combination pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated as of September 29, 2025, by and among New Eagle, Spring Valley Acquisition Corp. II, Eagle Energy Metals Corp., Spring Valley Merger Sub III, Inc., and Spring Valley Merger Sub II, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of in an automatic exchange for shares of common stock of Eagle Nuclear Energy Corp. ("New Eagle") in connection with the consummation of the business combination pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated as of September 29, 2025, by and among New Eagle, Spring Valley Acquisition Corp. II, Eagle Energy Metals Corp., Spring Valley Merger Sub III, Inc., and Spring Valley Merger Sub II, Inc.
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 |
|---|---|---|---|---|---|---|
| August 07, 2026 Filed Aug 12, 2026 01:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 7,486 | $0.00 | $0.00 |
DisclosureSEC source: 0001244203-26-000004 · wk-form4_1786497713.xml · derivative · entry 4 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, Par Value $0.0001 Per Share · 7,486 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 June 4, 2025, the reporting person was granted 7,486 RSUs vesting 100% on August 7, 2026. F3 · derivative.expiration_date: On June 4, 2025, the reporting person was granted 7,486 RSUs vesting 100% on August 7, 2026. Read SEC document |
| August 07, 2026 Filed Aug 12, 2026 01:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 7,486 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001244203-26-000004 · wk-form4_1786497713.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,486 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 03, 2026 Filed Jun 4, 2026 21:52 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 12,168 | $0.00 | $0.00 |
DisclosureSEC source: 0001244203-26-000002 · wk-form4_1780609957.xml · derivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,168 Underlying: Common Stock, Par Value $0.0001 Per Share · 12,168 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: On June 3, 2026, the Reporting Person was granted 12,168 RSUs vesting 100% on June 3, 2027. F2 · derivative.expiration_date: On June 3, 2026, the Reporting Person was granted 12,168 RSUs vesting 100% on June 3, 2027. Read SEC document |
| February 24, 2026 Filed Feb 26, 2026 21:43 UTC | Spring Valley Acquisition Corp. II SVII · Entity 63181 | Disposition to issuerClass A ordinary shares | 40,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-26-020566 · tm267402-1_4seq1.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of in an automatic exchange for shares of common stock of Eagle Nuclear Energy Corp. ("New Eagle") in connection with the consummation of the business combination pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated as of September 29, 2025, by and among New Eagle, Spring Valley Acquisition Corp. II, Eagle Energy Metals Corp., Spring Valley Merger Sub III, Inc., and Spring Valley Merger Sub II, Inc. Read SEC document |
| July 03, 2025 Filed Jul 8, 2025 18:47 UTC | STEM, INC. STEM · Entity 7172 | GiftCommon Stock, Par Value $0.0001 Per Share | 5,511 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-094535 · ownership.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: 37,571 F1 · shares: On July 3, 2025, the reporting person transferred 5,511 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. Read SEC document |
| July 03, 2025 Filed Jul 8, 2025 18:47 UTC | STEM, INC. STEM · Entity 7172 | GiftCommon Stock, Par Value $0.0001 Per Share | 5,511 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-094535 · ownership.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 478 F1 · shares: On July 3, 2025, the reporting person transferred 5,511 shares of common stock to the 2016 David S. Buzby Revocable Trust (of which the reporting person is sole trustee) for no consideration. Read SEC document |
| June 04, 2025 Filed Jun 6, 2025 23:25 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 149,723 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-083361 · ownership.xml · derivative · entry 3 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,723 Underlying: Common Stock, Par Value 0.0001 Per Share · 149,723 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: On June 4, 2025, the Reporting Person was granted 149,723 RSUs vesting 100% on August 7, 2026. F3 · derivative.expiration_date: On June 4, 2025, the Reporting Person was granted 149,723 RSUs vesting 100% on August 7, 2026. Read SEC document |
| May 29, 2025 Filed Jun 2, 2025 21:09 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 110,236 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-080372 · ownership.xml · derivative · entry 3 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, Par Value 0.0001 Per Share · 110,236 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") represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: On May 29, 2024, the Reporting Person was granted 110,236 RSUs vesting 100% on May 29, 2025. F2 · derivative.expiration_date: On May 29, 2024, the Reporting Person was granted 110,236 RSUs vesting 100% on May 29, 2025. Read SEC document |
| May 29, 2025 Filed Jun 2, 2025 21:09 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 110,236 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-080372 · ownership.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 230,025 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 14, 2025 Filed Jan 16, 2025 22:37 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 66,667 | $0.00 Strike: $0.84 | $0.00 |
DisclosureSEC source: 0000950170-25-006286 · ownership.xml · derivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,667 Underlying: Common Stock, Par Value $0.0001 Per Share · 66,667 shares Expires 2035-01-13 Read SEC document |
| August 28, 2024 Filed Aug 30, 2024 20:15 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000161 · wk-form4_1725048917.xml · derivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director · Executive Chair of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock, Par Value $0.0001 Per Share · 400,000 shares Expires 2034-08-28 F1 · derivative.exercise_date: The option award vests in six equal monthly installments, subject to the reporting person's continuing service as Executive Chair of the Board on the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 10, 2024 20:14 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 23,489 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000135 · wk-form4_1718050433.xml · derivative · entry 3 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 110,236 Underlying: Common Stock, Par Value $0.0001 Per Share · 23,489 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024. F1 · derivative.expiration_date: On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024. Read SEC document |
| June 07, 2024 Filed Jun 10, 2024 20:14 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 23,489 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000135 · wk-form4_1718050433.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 119,789 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 29, 2024 Filed May 30, 2024 20:33 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 110,236 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000125 · wk-form4_1717101184.xml · derivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 133,725 Underlying: Common Stock, Par Value $0.0001 Per Share · 110,236 shares Expires not disclosed F1 · derivative.exercise_date: The RSU award vests 100% on May 29, 2025. F1 · derivative.expiration_date: The RSU award vests 100% on May 29, 2025. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 22:04 UTC | STEM, INC. STEM · Entity 7172 | PurchaseCommon Stock, Par Value $0.0001 Per Share | 33,800 | $1.81 | $61,178.00 |
DisclosureSEC source: 0001758766-24-000058 · wk-form4_1710972256.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 768,448 Read SEC document |
| March 18, 2024 Filed Jun 10, 2024 20:13 UTC Amendment | STEM, INC. STEM · Entity 7172 | PurchaseCommon Stock, Par Value $0.0001 Per Share | 33,800 | $1.81 | $61,178.00 |
DisclosureSEC source: 0001758766-24-000130 · wk-form4a_1718050371.xml · nonDerivative · entry 4 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 96,300 F4 · balance_after: The Form 4 filed on March 20, 2024 incorrectly reported that, following the reporting person's purchase of 33,800 shares of common stock on March 18, 2024, he directly owned 768,448 shares of common stock. In fact, as reported in this amendment, the reporting person directly owned 96,300 shares after such transaction. Read SEC document |
| March 15, 2024 Filed Mar 18, 2024 22:13 UTC | STEM, INC. STEM · Entity 7172 | PurchaseCommon Stock, Par Value $0.0001 Per Share | 62,500 | $1.84 | $115,000.00 |
DisclosureSEC source: 0001758766-24-000057 · wk-form4_1710799967.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 734,648 Read SEC document |
| March 15, 2024 Filed Jun 10, 2024 20:13 UTC Amendment | STEM, INC. STEM · Entity 7172 | PurchaseCommon Stock, Par Value $0.0001 Per Share | 62,500 | $1.84 | $115,000.00 |
DisclosureSEC source: 0001758766-24-000130 · wk-form4a_1718050371.xml · nonDerivative · entry 3 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,500 F3 · balance_after: The Form 4 filed on March 18, 2024 incorrectly reported that, following the reporting person's purchase of 62,500 shares of common stock on March 15, 2024, he owned 734,648 shares of common stock. In fact, as reported in this amendment, the reporting person directly owned 62,500 shares after such transaction. Read SEC document |
| January 25, 2024 Filed Jan 30, 2024 02:10 UTC | Spring Valley Acquisition Corp. II SVII · Entity 63181 | ConversionClass B ordinary shares · Derivative | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-007906 · tm244390-4_4seq1.xml · derivative · entry 2 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A ordinary shares · 40,000 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: On January 25, 2024, the Reporting Person elected to convert 40,000 Class B ordinary shares, par value $0.0001 per share ("Class B Shares"), of Spring Valley Acquisition Corp. II (the "Issuer") held by the Reporting Person into Class A ordinary shares, par value $0.0001 per share ("Class A Shares"), of the Issuer on a one-for-one basis. As a result, 40,000 of the Class B Shares were cancelled, and 40,000 Class A Shares were issued to the Reporting Person on January 25, 2024. F1 · derivative.exercise_date: On January 25, 2024, the Reporting Person elected to convert 40,000 Class B ordinary shares, par value $0.0001 per share ("Class B Shares"), of Spring Valley Acquisition Corp. II (the "Issuer") held by the Reporting Person into Class A ordinary shares, par value $0.0001 per share ("Class A Shares"), of the Issuer on a one-for-one basis. As a result, 40,000 of the Class B Shares were cancelled, and 40,000 Class A Shares were issued to the Reporting Person on January 25, 2024. F1 · derivative.expiration_date: On January 25, 2024, the Reporting Person elected to convert 40,000 Class B ordinary shares, par value $0.0001 per share ("Class B Shares"), of Spring Valley Acquisition Corp. II (the "Issuer") held by the Reporting Person into Class A ordinary shares, par value $0.0001 per share ("Class A Shares"), of the Issuer on a one-for-one basis. As a result, 40,000 of the Class B Shares were cancelled, and 40,000 Class A Shares were issued to the Reporting Person on January 25, 2024. Read SEC document |
| January 25, 2024 Filed Jan 30, 2024 02:10 UTC | Spring Valley Acquisition Corp. II SVII · Entity 63181 | ConversionClass A ordinary shares | 40,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-007906 · tm244390-4_4seq1.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 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 · shares: On January 25, 2024, the Reporting Person elected to convert 40,000 Class B ordinary shares, par value $0.0001 per share ("Class B Shares"), of Spring Valley Acquisition Corp. II (the "Issuer") held by the Reporting Person into Class A ordinary shares, par value $0.0001 per share ("Class A Shares"), of the Issuer on a one-for-one basis. As a result, 40,000 of the Class B Shares were cancelled, and 40,000 Class A Shares were issued to the Reporting Person on January 25, 2024. F1 · price: On January 25, 2024, the Reporting Person elected to convert 40,000 Class B ordinary shares, par value $0.0001 per share ("Class B Shares"), of Spring Valley Acquisition Corp. II (the "Issuer") held by the Reporting Person into Class A ordinary shares, par value $0.0001 per share ("Class A Shares"), of the Issuer on a one-for-one basis. As a result, 40,000 of the Class B Shares were cancelled, and 40,000 Class A Shares were issued to the Reporting Person on January 25, 2024. Read SEC document |
| September 15, 2023 Filed Sep 18, 2023 20:51 UTC | STEM, INC. STEM · Entity 7172 | PurchaseCommon Stock, Par Value $0.0001 Per Share | 62,000 | $4.82 | $298,840.00 |
DisclosureSEC 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. Read SEC document |
| June 20, 2023 Filed Jun 10, 2024 20:13 UTC Amendment | STEM, INC. STEM · Entity 7172 | GiftCommon Stock, Par Value $0.0001 Per Share | 20,498 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 20, 2023 Filed Jun 10, 2024 20:13 UTC Amendment | STEM, INC. STEM · Entity 7172 | GiftCommon Stock, Par Value $0.0001 Per Share | 20,498 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 15, 2023 Filed Jun 20, 2023 20:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 20,498 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 15, 2023 Filed Jun 20, 2023 20:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 20,498 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000100 · wf-form4_168729219535251.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,498 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. Read SEC document |
| June 07, 2023 Filed Jun 8, 2023 21:52 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 23,489 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000091 · wf-form4_168626113963268.xml · derivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,987 Underlying: Common Stock, Par Value $0.0001 Per Share · 23,489 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 vests 100% on June 7, 2024. F2 · derivative.expiration_date: The RSU vests 100% on June 7, 2024. Read SEC document |
| September 09, 2022 Filed Sep 12, 2022 20:57 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 50,000 | $16.21 | $810,400.00 |
DisclosureSEC source: 0001758766-22-000161 · wf-form4_166301624872397.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By the David S. Buzby Revocable Trust Disclosed balance after: 558,711 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $16.20 to $16.21. 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. F2 · ownership.nature: Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 20:07 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 67,000 | $15.51 | $1,039,170.00 |
DisclosureSEC source: 0001758766-22-000152 · wf-form4_166093960619879.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By the David S. Buzby Revocable Trust Disclosed balance after: 608,711 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.50 to $15.52. 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. F2 · balance_after: Also reflects shares previously disclosed as directly owned by the Reporting Person. In March 2022, the Reporting person transferred 672,148 shares of common stock to the trust, of which the Reporting Person is the sole trustee. As a result, the Reporting Person does not currently beneficially own any common stock directly. F3 · ownership.nature: Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee. Read SEC document |
| July 28, 2022 Filed Jul 29, 2022 22:19 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 20,498 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000121 · wf-form4_165913316184796.xml · derivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,498 Underlying: Common Stock, Par Value $0.0001 Per Share · 20,498 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 15, 2023. F2 · derivative.expiration_date: The RSU award vests 100% on June 15, 2023. Read SEC document |
| April 28, 2022 Filed Apr 29, 2022 11:19 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 5,524 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000075 · wf-form4_165123117619253.xml · derivative · entry 3 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, Par Value $0.0001 Per Share · 5,524 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 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. F2 · derivative.exercise_date: On July 2, 2021, the reporting person was granted 5,524 RSUs vesting 100% on April 28, 2021. F2 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 5,524 RSUs vesting 100% on April 28, 2021. Read SEC document |
| April 28, 2022 Filed Apr 29, 2022 11:19 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 5,524 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000075 · wf-form4_165123117619253.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 672,148 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. Read SEC document |
| March 08, 2022 Filed Mar 9, 2022 19:31 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 86,121 | $9.01 | $775,950.21 |
DisclosureSEC source: 0001244203-22-000002 · wf-form4_164685425812810.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By the David S. Buzby Revocable Trust Disclosed balance after: 3,563 F1 · kind: The sale reported in this filing was made to satisfy personal income tax obligations of the reporting person. Read SEC document |
| July 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 166,018 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · derivative · entry 10 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,716 Underlying: Common Stock, Par Value $0.0001 Per Share · 166,018 shares Expires 2028-10-31 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 January 1, 2019, and the remaining options vested in equal monthly installments thereafter. F3 · balance_after: These options will vest in equal monthly installments through January 1, 2022. Read SEC document |
| July 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 27,596 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · derivative · entry 9 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,734 Underlying: Common Stock, Par Value $0.0001 Per Share · 27,596 shares Expires 2025-10-27 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 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 32,978 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · derivative · entry 8 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,330 Underlying: Common Stock, Par Value $0.0001 Per Share · 32,978 shares Expires 2025-07-20 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 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 11,049 | $34.11 | $376,881.39 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · nonDerivative · entry 6 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666,624 Read SEC document |
| July 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 166,018 | $2.27 | $376,860.86 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · nonDerivative · entry 5 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,673 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 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 1,012 | $34.11 | $34,519.32 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · nonDerivative · entry 4 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,655 Read SEC document |
| July 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 27,596 | $1.25 | $34,495.00 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · nonDerivative · entry 3 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 512,667 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 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 1,209 | $34.11 | $41,238.99 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · nonDerivative · entry 2 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485,071 Read SEC document |
| July 07, 2021 Filed Jul 9, 2021 23:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 32,978 | $1.25 | $41,222.50 |
DisclosureSEC source: 0001758766-21-000131 · wf-form4_162587253417624.xml · nonDerivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 486,280 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 23:42 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 5,524 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-21-000120 · wf-form4_162561495176206.xml · derivative · entry 1 BUZBY DAVID S · CIK 0001244203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,524 Underlying: Common Stock, Par Value $0.0001 Per Share · 5,524 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 April 28, 2022. F2 · derivative.expiration_date: The RSU award vests 100% on April 28, 2022. 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.