Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STEM, INC.STEM · Entity 7172 | President, Software Products | June 30, 2026 | July 02, 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.
STEM, INC.
Report date June 30, 2026 · Filed July 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | Direct | 9,577 |
Ending reported balance
After 2026-07-02 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-06-30 · Exercise / conversion · Acquired 5,000 · Balance 7,823 Row 2 · 2026-06-30 · Exercise / conversion · Acquired 2,750 · Balance 10,573 Row 3 · 2026-07-02 · Sale · Disposed 996 · Balance 9,577 F1: Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of PSUs on June 30, 2026. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. |
| Performance Stock UnitSEC Table II · derivative / convertible security | Direct | 2,750 |
Reported balance
After 2026-06-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-06-30 · Exercise / conversion · Disposed 2,750 · Balance 2,750 F2: Each performance stock unit ("PSU") represented a contingent right to receive one share of the Issuer's common stock if the volume-weighted average price of the Issuer's common stock for any consecutive sixty (60) trading-day period equaled or exceeded $17.60 (the "Performance Metric") during a performance period ending on June 30, 2028 (the "Performance Period"). F3: On June 30, 2025, the Reporting Person was granted 5,500 PSUs, 2,750 of which vested on June 30, 2026 following the Issuer's achievement of the Performance Metric during the Performance Period. |
| Performance Stock UnitSEC Table II · derivative / convertible security | Direct | 5,000 |
Reported balance
After 2026-06-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-06-30 · Exercise / conversion · Disposed 5,000 · Balance 5,000 F2: Each performance stock unit ("PSU") represented a contingent right to receive one share of the Issuer's common stock if the volume-weighted average price of the Issuer's common stock for any consecutive sixty (60) trading-day period equaled or exceeded $17.60 (the "Performance Metric") during a performance period ending on June 30, 2028 (the "Performance Period"). F4: On July 28, 2025, the Reporting Person was granted 10,000 PSUs, 5,000 of which vested on June 30, 2026 following the Issuer's achievement of the Performance Metric during the Performance Period. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of PSUs on June 30, 2026. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.
F2: Each performance stock unit ("PSU") represented a contingent right to receive one share of the Issuer's common stock if the volume-weighted average price of the Issuer's common stock for any consecutive sixty (60) trading-day period equaled or exceeded $17.60 (the "Performance Metric") during a performance period ending on June 30, 2028 (the "Performance Period").
F3: On June 30, 2025, the Reporting Person was granted 5,500 PSUs, 2,750 of which vested on June 30, 2026 following the Issuer's achievement of the Performance Metric during the Performance Period.
F4: On July 28, 2025, the Reporting Person was granted 10,000 PSUs, 5,000 of which vested on June 30, 2026 following the Issuer's achievement of the Performance Metric during the Performance Period.
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 |
|---|---|---|---|---|---|---|
| March 01, 2024 Filed Mar 5, 2024 21:25 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 13,398 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000041 · wk-form4_1709673876.xml · derivative · entry 4 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,714 Underlying: Common Stock, Par Value $0.0001 Per Share · 13,398 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: On March 1, 2022, the reporting person was granted 53,590 RSUs vesting in four equal annual installments beginning on March 1, 2023. F3 · derivative.expiration_date: On March 1, 2022, the reporting person was granted 53,590 RSUs vesting in four equal annual installments beginning on March 1, 2023. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 21:25 UTC | STEM, INC. STEM · Entity 7172 | GrantCommon Stock, Par Value $0.0001 Per Share | 51,539 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000041 · wk-form4_1709673876.xml · nonDerivative · entry 2 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,348 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 |
| March 01, 2024 Filed Mar 5, 2024 21:25 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 13,398 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000041 · wk-form4_1709673876.xml · nonDerivative · entry 1 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,809 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 20, 2024 Filed Feb 21, 2024 22:07 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 6,857 | $3.05 | $20,913.85 |
DisclosureSEC source: 0001758766-24-000021 · wk-form4_1708553185.xml · nonDerivative · entry 1 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,411 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2023. Read SEC document |
| February 16, 2024 Filed Feb 20, 2024 21:48 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 10,602 | $3.17 | $33,608.34 |
DisclosureSEC source: 0001758766-24-000013 · wk-form4_1708465676.xml · nonDerivative · entry 2 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,268 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 15, 2024 Filed Feb 20, 2024 21:48 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 45,024 | $0.00 Strike: $3.37 | $0.00 |
DisclosureSEC source: 0001758766-24-000013 · wk-form4_1708465676.xml · derivative · entry 4 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,024 Underlying: Common Stock, Par Value $0.0001 Per Share · 45,024 shares Expires 2034-02-15 F3 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:48 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 24,315 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000013 · wk-form4_1708465676.xml · derivative · entry 3 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,112 Underlying: Common Stock, Par Value $0.0001 Per Share · 24,315 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: On February 15, 2023, the reporting person was granted 73,684 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. F2 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 73,684 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:48 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 24,315 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000013 · wk-form4_1708465676.xml · nonDerivative · entry 1 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,870 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 14, 2024 Filed Feb 16, 2024 22:12 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 4,556 | $3.15 | $14,351.40 |
DisclosureSEC source: 0001758766-24-000008 · wk-form4_1708121536.xml · nonDerivative · entry 1 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,555 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2023. Read SEC document |
| January 03, 2024 Filed Jan 3, 2024 22:23 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,207 | $3.56 | $18,536.92 |
DisclosureSEC source: 0001758766-24-000002 · wk-form4_1704320568.xml · nonDerivative · entry 2 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,111 F2 · shares: Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs. Such sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| December 31, 2023 Filed Jan 3, 2024 22:23 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 14,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000002 · wk-form4_1704320568.xml · derivative · entry 3 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 119,427 Underlying: Common Stock, Par Value $0.0001 Per Share · 14,318 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") that were issued to the reporting person on July 13, 2023 under the Stem, Inc. 2021 Equity Incentive Plan. F3 · derivative.exercise_date: On July 13, 2023, the reporting person was granted 14,318 RSUs vesting 100% on December 31, 2023. F3 · derivative.expiration_date: On July 13, 2023, the reporting person was granted 14,318 RSUs vesting 100% on December 31, 2023. Read SEC document |
| December 31, 2023 Filed Jan 3, 2024 22:23 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 14,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000002 · wk-form4_1704320568.xml · nonDerivative · entry 1 Tappin Matthew · CIK 0001986259 · President, Asset Management 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,318 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") that were issued to the reporting person on July 13, 2023 under the Stem, Inc. 2021 Equity Incentive Plan. 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.