person · Reporting owner
Carrington John Eugene
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ERock, Inc.EROC · Entity 4204 | Director · See Remarks | June 09, 2026 | June 10, 2026 |
| STEM, INC.STEM · Entity 7172 | Director · CEO and Director | May 28, 2024 | May 28, 2024 |
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.
ERock, Inc.
Report date June 09, 2026 · Filed June 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class M UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.15 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-06-09 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Reflect Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. F2: Class B Units are exchangeable, at the holder's option, on a one-for-one basis for shares of Class A Common Stock of the Issuer or cash (at the Issuer's election). F3: 353,828 of these Class M Units have vested, and the remaining Class M Units vest in 6 equal monthly installments on the 26th day of each calendar month commencing June 26, 2026 and ending November 26, 2026, subject to the Reporting Person's continuous service to the Issuer. |
| Class M UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $1.61 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-06-09 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F1: Reflect Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. F2: Class B Units are exchangeable, at the holder's option, on a one-for-one basis for shares of Class A Common Stock of the Issuer or cash (at the Issuer's election). F6: 1,891,635 of these Class M Units have vested, and the remaining Class M Units vest in 30 equal monthly installments on the 26th day of each calendar month commencing June 26, 2026 and ending November 26, 2028, subject to the Reporting Person's continuous service to the Issuer. |
| Class M UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.15 | IndirectBy Trust | Not disclosed |
Reported balance
Holding disclosure · report date 2026-06-09 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F1: Reflect Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. F2: Class B Units are exchangeable, at the holder's option, on a one-for-one basis for shares of Class A Common Stock of the Issuer or cash (at the Issuer's election). F4: These Class M Units are fully vested. F5: These securities are held by a trust, of which the Reporting Person's spouse serves as a trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflect Class M Units ("Class M Units") of ER Holdings, which are "profits interests" for U.S. federal income tax purposes. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date.
F2: Class B Units are exchangeable, at the holder's option, on a one-for-one basis for shares of Class A Common Stock of the Issuer or cash (at the Issuer's election).
F3: 353,828 of these Class M Units have vested, and the remaining Class M Units vest in 6 equal monthly installments on the 26th day of each calendar month commencing June 26, 2026 and ending November 26, 2026, subject to the Reporting Person's continuous service to the Issuer.
F4: These Class M Units are fully vested.
F5: These securities are held by a trust, of which the Reporting Person's spouse serves as a trustee.
F6: 1,891,635 of these Class M Units have vested, and the remaining Class M Units vest in 30 equal monthly installments on the 26th day of each calendar month commencing June 26, 2026 and ending November 26, 2028, subject to the Reporting Person's continuous service to the Issuer.
STEM, INC.
Report date May 28, 2024 · Filed May 28, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 1,094,878 |
Reported balance
After 2024-05-28 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-05-28 · Grant · Acquired 389,466 · Balance 1,094,878 F1: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025.
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 |
|---|---|---|---|---|---|---|
| May 28, 2024 Filed May 28, 2024 23:25 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 389,466 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000096 · wk-form4_1716938704.xml · derivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,094,878 Underlying: Common Stock, Par Value $0.0001 Per Share · 389,466 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 |
| May 02, 2024 Filed May 7, 2024 11:49 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 194,171 | $1.85 | $359,216.35 |
DisclosureSEC source: 0001758766-24-000092 · wk-form4_1715082587.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 506,585 F1 · shares: Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs reported in the Form 4 filed on April 30, 2024. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. Read SEC document |
| April 28, 2024 Filed Apr 30, 2024 21:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 9,866 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000082 · wk-form4_1714512077.xml · derivative · entry 4 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 705,412 Underlying: Common Stock, Par Value $0.0001 Per Share · 9,866 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 July 2, 2021, the reporting person was granted 39,463 RSUs vesting in four equal annual installments beginning on April 28, 2022. F2 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 39,463 RSUs vesting in four equal annual installments beginning on April 28, 2022. Read SEC document |
| April 28, 2024 Filed Apr 30, 2024 21:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 428,572 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000082 · wk-form4_1714512077.xml · derivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 715,278 Underlying: Common Stock, Par Value $0.0001 Per Share · 428,572 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 July 2, 2021, the reporting person was granted 1,000,000 RSUs vesting as follows: 3/7th (428,572 RSUs) vesting on April 28, 2024, and 1/7th (142,857 RSUs) vesting on each anniversary thereafter. F1 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 1,000,000 RSUs vesting as follows: 3/7th (428,572 RSUs) vesting on April 28, 2024, and 1/7th (142,857 RSUs) vesting on each anniversary thereafter. Read SEC document |
| April 28, 2024 Filed Apr 30, 2024 21:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 9,866 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000082 · wk-form4_1714512077.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 700,756 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 28, 2024 Filed Apr 30, 2024 21:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 428,572 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000082 · wk-form4_1714512077.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 690,890 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 08, 2024 Filed Mar 12, 2024 20:15 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 85,038 | $2.19 | $186,233.22 |
DisclosureSEC source: 0001758766-24-000047 · wk-form4_1710274512.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 262,318 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 21:24 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 9,885 | $2.48 | $24,514.80 |
DisclosureSEC source: 0001758766-24-000040 · wk-form4_1709673834.xml · nonDerivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 347,356 F2 · shares: Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 21:24 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 26,795 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000040 · wk-form4_1709673834.xml · derivative · entry 4 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,143,850 Underlying: Common Stock, Par Value $0.0001 Per Share · 26,795 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 107,181 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 107,181 RSUs vesting in four equal annual installments beginning on March 1, 2023. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 21:24 UTC | STEM, INC. STEM · Entity 7172 | GrantCommon Stock, Par Value $0.0001 Per Share | 191,884 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000040 · wk-form4_1709673834.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 357,241 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 21:24 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 26,795 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000040 · wk-form4_1709673834.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 165,357 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 27, 2024 Filed Feb 27, 2024 22:25 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 13,863 | $2.70 | $37,430.10 |
DisclosureSEC source: 0001758766-24-000023 · wk-form4_1709072692.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 138,562 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 24, 2024 Filed Feb 27, 2024 22:25 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 34,737 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000023 · wk-form4_1709072692.xml · derivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,170,645 Underlying: Common Stock, Par Value $0.0001 Per Share · 34,737 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 24, 2023, the reporting person was granted 105,264 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 24, 2024. F2 · derivative.expiration_date: On February 24, 2023, the reporting person was granted 105,264 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 24, 2024. Read SEC document |
| February 24, 2024 Filed Feb 27, 2024 22:25 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 34,737 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000023 · wk-form4_1709072692.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 152,425 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 21:59 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 172,925 | $0.00 Strike: $3.37 | $0.00 |
DisclosureSEC source: 0001758766-24-000020 · wk-form4_1708466371.xml · derivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 172,925 Underlying: Common Stock, Par Value $0.0001 Per Share · 172,925 shares Expires 2034-02-15 F1 · derivative.exercise_date: The option award vests in three annual installments (33% / 33% / 34%) beginning on February 15, 2025. Read SEC document |
| May 01, 2023 Filed May 5, 2023 14:34 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 3,600 | $4.12 | $14,832.00 |
DisclosureSEC source: 0001758766-23-000081 · wf-form4_168329725453442.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 117,688 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 |
| April 28, 2023 Filed May 5, 2023 14:34 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 9,866 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000081 · wf-form4_168329725453442.xml · derivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,205,382 Underlying: Common Stock, Par Value $0.0001 Per Share · 9,866 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") granted on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. F3 · derivative.exercise_date: On July 2, 2021, the reporting person was granted 39,463 RSUs vesting in four equal annual installments beginning on April 28, 2022. F3 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 39,463 RSUs vesting in four equal annual installments beginning on April 28, 2022. Read SEC document |
| April 28, 2023 Filed May 5, 2023 14:34 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 9,866 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000081 · wf-form4_168329725453442.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,288 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") granted on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. Read SEC document |
| March 20, 2023 Filed Mar 21, 2023 22:08 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 13,216 | $6.33 | $83,667.85 |
DisclosureSEC source: 0001758766-23-000047 · wf-form4_167943646548200.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,422 F1 · shares: Represents shares of common stock sold to cover the reporting person's tax liability in connection with the previously-reported settlement of RSUs. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $6.33 to $6.345. 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 01, 2023 Filed Mar 3, 2023 22:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 26,795 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000030 · wf-form4_167788175873119.xml · derivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,215,248 Underlying: Common Stock, Par Value $0.0001 Per Share · 26,795 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 March 1, 2022 under the Stem, Inc. 2021 Equity Incentive Plan. F2 · derivative.exercise_date: On March 1, 2022, the reporting person was granted 107,181 RSUs vesting in four equal annual installments beginning on March 1, 2023. F2 · derivative.expiration_date: On March 1, 2022, the reporting person was granted 107,181 RSUs vesting in four equal annual installments beginning on March 1, 2023. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 22:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 26,795 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000030 · wf-form4_167788175873119.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,638 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 March 1, 2022 under the Stem, Inc. 2021 Equity Incentive Plan. Read SEC document |
| February 24, 2023 Filed Feb 28, 2023 22:21 UTC | STEM, INC. STEM · Entity 7172 | GrantPerformance Stock Unit · Derivative | 210,527 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000021 · wf-form4_167762284473813.xml · derivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,527 Underlying: Common Stock, Par Value $0.0001 Per Share · 210,527 shares Expires not disclosed F4 · derivative.exercise_price: Each performance stock unit ("PSU") represents the contingent right to receive one (1) share of common stock. F5 · derivative.exercise_date: Subject to the terms and conditions of the governing PSU agreement, the PSU award will vest, if at all, on February 24, 2026. The number of shares that may be earned is based on achieving pre-set price hurdles for a specific number oof consecutive trading days during the performance period. F6 · derivative.expiration_date: If some or all of the price hurdles are not met on or prior to February 24, 2026, all unearned PSUs will immediately be forfeited. Read SEC document |
| February 24, 2023 Filed Feb 28, 2023 22:21 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 135,502 | $0.00 Strike: $10.25 | $0.00 |
DisclosureSEC source: 0001758766-23-000021 · wf-form4_167762284473813.xml · derivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,502 Underlying: Common Stock, Par Value $0.0001 Per Share · 135,502 shares Expires 2033-02-24 F3 · derivative.exercise_date: The option award vests in three equal annual installments beginning on February 24, 2024. Read SEC document |
| February 24, 2023 Filed Feb 28, 2023 22:21 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 105,264 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000021 · wf-form4_167762284473813.xml · derivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,215,248 Underlying: Common Stock, Par Value $0.0001 Per Share · 105,264 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. F2 · derivative.exercise_date: The RSU award vests in three equal annual installments beginning on February 24, 2024. F2 · derivative.expiration_date: The RSU award vests in three equal annual installments beginning on February 24, 2024. Read SEC document |
| November 17, 2022 Filed Nov 18, 2022 23:01 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 28,570 | $13.60 | $388,454.86 |
DisclosureSEC source: 0001758766-22-000190 · wf-form4_166881244780031.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,843 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.37 to $13.83. 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 16, 2022 Filed Nov 18, 2022 23:01 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 28,570 | $13.82 | $394,834.54 |
DisclosureSEC source: 0001758766-22-000190 · wf-form4_166881244780031.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,413 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.64 to $14.07. 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 06, 2022 Filed Oct 7, 2022 22:57 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 2,657 | $14.59 | $38,754.74 |
DisclosureSEC source: 0001758766-22-000175 · wf-form4_166518340525628.xml · nonDerivative · entry 4 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,983 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F5 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.46 to $14.77. 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 06, 2022 Filed Oct 7, 2022 22:57 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 25,913 | $13.67 | $354,114.10 |
DisclosureSEC source: 0001758766-22-000175 · wf-form4_166518340525628.xml · nonDerivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,640 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F4 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.46 to $14.42. 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 05, 2022 Filed Oct 7, 2022 22:57 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 1,900 | $13.96 | $26,523.05 |
DisclosureSEC source: 0001758766-22-000175 · wf-form4_166518340525628.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,553 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.95 to $14.00. 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 05, 2022 Filed Oct 7, 2022 22:57 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 26,670 | $13.46 | $359,031.54 |
DisclosureSEC source: 0001758766-22-000175 · wf-form4_166518340525628.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,453 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $12.95 to $13.94. 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 |
| September 14, 2022 Filed Sep 15, 2022 23:03 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 18,339 | $17.25 | $316,259.72 |
DisclosureSEC source: 0001758766-22-000164 · wf-form4_166328301126612.xml · nonDerivative · entry 4 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,123 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F5 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $16.93 to $17.485. 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 |
| September 14, 2022 Filed Sep 15, 2022 23:03 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 10,231 | $16.38 | $167,628.80 |
DisclosureSEC source: 0001758766-22-000164 · wf-form4_166328301126612.xml · nonDerivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,462 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F4 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.92 to $16.905. 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 |
| September 13, 2022 Filed Sep 15, 2022 23:03 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 20,671 | $16.44 | $339,746.49 |
DisclosureSEC source: 0001758766-22-000164 · wf-form4_166328301126612.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,693 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $16.19 to $16.79. 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 |
| September 13, 2022 Filed Sep 15, 2022 23:03 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 7,899 | $15.81 | $124,867.39 |
DisclosureSEC source: 0001758766-22-000164 · wf-form4_166328301126612.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,364 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.19 to $16.18. 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 17, 2022 Filed Aug 18, 2022 21:48 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 700 | $15.56 | $10,892.56 |
DisclosureSEC source: 0001758766-22-000151 · wf-form4_166085926614260.xml · nonDerivative · entry 4 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,263 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F5 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.52 to $15.66. 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 17, 2022 Filed Aug 18, 2022 21:48 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 27,870 | $15.09 | $420,477.48 |
DisclosureSEC source: 0001758766-22-000151 · wf-form4_166085926614260.xml · nonDerivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,963 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F4 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.52 to $15.51. 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 16, 2022 Filed Aug 18, 2022 21:48 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 2,010 | $16.56 | $33,287.81 |
DisclosureSEC source: 0001758766-22-000151 · wf-form4_166085926614260.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,833 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $16.48 to $16.77. 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 16, 2022 Filed Aug 18, 2022 21:48 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 26,560 | $15.94 | $423,292.03 |
DisclosureSEC source: 0001758766-22-000151 · wf-form4_166085926614260.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,843 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.48 to $16.47. 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 |
| July 21, 2022 Filed Jul 22, 2022 21:52 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 28,570 | $9.17 | $261,946.90 |
DisclosureSEC source: 0001758766-22-000115 · wf-form4_165852673600056.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 326,403 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $8.98 to $9.31. 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 |
| July 20, 2022 Filed Jul 22, 2022 21:52 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 28,570 | $8.92 | $254,838.69 |
DisclosureSEC source: 0001758766-22-000115 · wf-form4_165852673600056.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,973 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $8.50 to $9.16. 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 |
| June 09, 2022 Filed Jun 10, 2022 20:37 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 28,570 | $8.99 | $256,901.44 |
DisclosureSEC source: 0001758766-22-000107 · wf-form4_165489344702579.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,543 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $8.75 to $9.35. 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 |
| June 08, 2022 Filed Jun 10, 2022 20:37 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 28,570 | $9.34 | $266,938.08 |
DisclosureSEC source: 0001758766-22-000107 · wf-form4_165489344702579.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,113 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $9.12 to $9.68. 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 |
| May 20, 2022 Filed May 23, 2022 20:08 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 28,580 | $7.48 | $213,875.57 |
DisclosureSEC source: 0001758766-22-000106 · wf-form4_165333651036214.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 440,683 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $7.17 to $7.93. 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 |
| May 19, 2022 Filed May 23, 2022 20:08 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 28,580 | $7.73 | $220,963.41 |
DisclosureSEC source: 0001758766-22-000106 · wf-form4_165333651036214.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 469,263 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $7.45 to $7.95. 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 |
| May 10, 2022 Filed May 12, 2022 21:30 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,198 | $7.32 | $38,049.36 |
DisclosureSEC source: 0001758766-22-000099 · wf-form4_165239103005603.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 497,843 F1 · shares: Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of previously vested Restricted Stock Units F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $7.28 to $7.67. 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 |
| April 28, 2022 Filed May 2, 2022 21:29 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 9,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000085 · wf-form4_165152693293765.xml · derivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,136,779 Underlying: Common Stock, Par Value $0.0001 Per Share · 9,865 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 July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. F2 · derivative.exercise_date: On July 2, 2021, the reporting person was granted 39,463 RSUs vesting in equal annual installments over four years beginning on April 28, 2021. F2 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 39,463 RSUs vesting in equal annual installments over four years beginning on April 28, 2021. Read SEC document |
| April 28, 2022 Filed May 2, 2022 21:29 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 9,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000085 · wf-form4_165152693293765.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 503,041 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 July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. Read SEC document |
| April 06, 2022 Filed Apr 8, 2022 11:25 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 133,465 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0001434884-22-000002 · wf-form4_164941713258595.xml · derivative · entry 3 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 777,149 Underlying: Common Stock, Par Value $0.0001 Per Share · 133,465 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 |
| April 06, 2022 Filed Apr 8, 2022 11:25 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 68,416 | $10.80 | $738,892.80 |
DisclosureSEC source: 0001434884-22-000002 · wf-form4_164941713258595.xml · nonDerivative · entry 2 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 493,176 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 06, 2022 Filed Apr 8, 2022 11:25 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 133,465 | $1.25 | $166,831.25 |
DisclosureSEC source: 0001434884-22-000002 · wf-form4_164941713258595.xml · nonDerivative · entry 1 Carrington John Eugene · CIK 0001434884 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 561,592 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.