Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Appreciate Holdings, Inc.SFR · Entity 108242 | Director | November 29, 2022 | December 09, 2022 |
| MusclePharm CorpMSLP · Entity 125097 | Director | July 01, 2019 | September 16, 2019 |
| STEM, INC.STEM · Entity 7172 | Chief Financial Officer | May 28, 2024 | May 28, 2024 |
| TOWERSTREAM CORPTWER · Entity 166016 | Director | June 01, 2018 | June 05, 2018 |
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.
Appreciate Holdings, Inc.
Report date November 29, 2022 · Filed December 09, 2022
This filing explicitly reported no securities owned.
MusclePharm Corp
Report date July 01, 2019 · Filed September 16, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 492,181 |
Reported balance
After 2019-07-01 transaction · row 1
1 source rowRow 1 · 2019-07-01 · Grant · Acquired 238,095 · Balance 492,181 F1: Consists of restricted stock issued pursuant to the company's 2017 Director Compensation Plan and vesting in four equal installments each quarter over the next year. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of restricted stock issued pursuant to the company's 2017 Director Compensation Plan and vesting in four equal installments each quarter over the next year.
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 | 573,380 |
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 125,000 · Balance 573,380 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.
TOWERSTREAM CORP
Report date June 01, 2018 · Filed June 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.40 · Expires 2028-05-31 | Direct | 1,584 |
Reported balance
After 2018-06-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-01 · Grant · Acquired 34 · Balance 1,584 F1: Options granted under the registrant's 2008 Non-Employee Directors Compensation Plan. The options vest monthly over a one year period commencing on the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Options granted under the registrant's 2008 Non-Employee Directors Compensation Plan. The options vest monthly over a one year period commencing on the grant date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 28, 2024 Filed May 28, 2024 19:25 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 125,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000097 · wk-form4_1716938717.xml · derivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 573,380 Underlying: Common Stock, Par Value $0.0001 Per Share · 125,000 shares Expires not disclosed F1 · derivative.exercise_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025. F1 · derivative.expiration_date: The RSU award vests in three annual installments (33% / 33% / 34%) beginning on March 7, 2025. Read SEC document |
| April 30, 2024 Filed Apr 30, 2024 17:21 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 24,035 | $1.87 | $44,945.45 |
DisclosureSEC source: 0001758766-24-000083 · wk-form4_1714512105.xml · nonDerivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 390,217 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 |
| April 28, 2024 Filed Apr 30, 2024 17:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 3,946 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000083 · wk-form4_1714512105.xml · derivative · entry 5 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 448,380 Underlying: Common Stock, Par Value $0.0001 Per Share · 3,946 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 July 2, 2021, the reporting person was granted 15,785 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 15,785 RSUs vesting in four equal annual installments beginning on April 28, 2022. Read SEC document |
| April 28, 2024 Filed Apr 30, 2024 17:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 65,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000083 · wk-form4_1714512105.xml · derivative · entry 4 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 452,326 Underlying: Common Stock, Par Value $0.0001 Per Share · 65,000 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. F2 · derivative.exercise_date: On July 2, 2021, the reporting person was granted 65,000 RSUs vesting 100% on April 28, 2024. F2 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 65,000 RSUs vesting 100% on April 28, 2024. Read SEC document |
| April 28, 2024 Filed Apr 30, 2024 17:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 3,946 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000083 · wk-form4_1714512105.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 414,252 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 17:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 65,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000083 · wk-form4_1714512105.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 410,306 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 16:14 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 46,034 | $2.19 | $100,814.46 |
DisclosureSEC source: 0001758766-24-000045 · wk-form4_1710274470.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 345,306 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 16:21 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 10,016 | $2.48 | $24,839.68 |
DisclosureSEC source: 0001758766-24-000034 · wk-form4_1709673666.xml · nonDerivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 391,340 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 16:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 23,446 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000034 · wk-form4_1709673666.xml · derivative · entry 4 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 517,326 Underlying: Common Stock, Par Value $0.0001 Per Share · 23,446 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 93,783 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 93,783 RSUs vesting in four equal annual installments beginning on March 1, 2023. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 16:21 UTC | STEM, INC. STEM · Entity 7172 | GrantCommon Stock, Par Value $0.0001 Per Share | 101,096 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000034 · wk-form4_1709673666.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 401,356 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 16:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 23,446 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000034 · wk-form4_1709673666.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 300,260 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 16, 2024 Filed Feb 20, 2024 16:47 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 20,367 | $3.17 | $64,563.39 |
DisclosureSEC source: 0001758766-24-000012 · wk-form4_1708465604.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 276,814 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 16:47 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 64,320 | $0.00 Strike: $3.37 | $0.00 |
DisclosureSEC source: 0001758766-24-000012 · wk-form4_1708465604.xml · derivative · entry 4 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,320 Underlying: Common Stock, Par Value $0.0001 Per Share · 64,320 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 16:47 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 48,631 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000012 · wk-form4_1708465604.xml · derivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 540,772 Underlying: Common Stock, Par Value $0.0001 Per Share · 48,631 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 147,368 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 147,368 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 16:47 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 48,631 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000012 · wk-form4_1708465604.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 297,181 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 01, 2023 Filed May 5, 2023 10:33 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 1,440 | $4.12 | $5,932.80 |
DisclosureSEC source: 0001758766-23-000080 · wf-form4_168329718507526.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 248,550 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 10:33 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 3,946 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000080 · wf-form4_168329718507526.xml · derivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 589,403 Underlying: Common Stock, Par Value $0.0001 Per Share · 3,946 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 15,785 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 15,785 RSUs vesting in four equal annual installments beginning on April 28, 2022 Read SEC document |
| April 28, 2023 Filed May 5, 2023 10:33 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 3,946 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000080 · wf-form4_168329718507526.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 249,990 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 |
| April 12, 2023 Filed Apr 14, 2023 17:47 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 298,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000058 · wf-form4_168150885928762.xml · derivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 593,349 Underlying: Common Stock, Par Value $0.0001 Per Share · 298,804 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 100% on April 12, 2026. F2 · derivative.expiration_date: The RSU award vests 100% on April 12, 2026. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 17:03 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 23,445 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000024 · wf-form4_167788094671669.xml · derivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,545 Underlying: Common Stock, Par Value $0.0001 Per Share · 23,445 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. F4 · derivative.exercise_date: On March 1, 2022, the reporting person was granted 93,783 RSUs vesting in four equal annual installments beginning on March 1, 2023 F4 · derivative.expiration_date: On March 1, 2022, the reporting person was granted 93,783 RSUs vesting in four equal annual installments beginning on March 1, 2023 Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 17:03 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 9,252 | $8.10 | $74,968.03 |
DisclosureSEC source: 0001758766-23-000024 · wf-form4_167788094671669.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,044 F2 · shares: Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $8.10 to $8.115. 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 17:03 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 23,445 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000024 · wf-form4_167788094671669.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,296 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 15, 2023 Filed Feb 17, 2023 20:37 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 190,375 | $0.00 Strike: $10.25 | $0.00 |
DisclosureSEC source: 0001758766-23-000013 · wf-form4_167668425443963.xml · derivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,375 Underlying: Common Stock, Par Value $0.0001 Per Share · 190,375 shares Expires 2033-02-15 F3 · derivative.exercise_date: The option award vests in three equal annual installments beginning on February 15, 2024. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 20:37 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 147,368 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000013 · wf-form4_167668425443963.xml · derivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 317,990 Underlying: Common Stock, Par Value $0.0001 Per Share · 147,368 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") award represents the contingent right to receive one (1) share of common stock. F2 · derivative.exercise_date: The RSU award vests in three equal annual installments beginning on February 15, 2024. F2 · derivative.expiration_date: The RSU award vests in three equal annual installments beginning on February 15, 2024. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 19:11 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 30,000 | $14.67 | $439,992.00 |
DisclosureSEC source: 0001758766-22-000187 · wf-form4_166864387901045.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,851 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.66 to $14.68. 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. F2 · balance_after: Due to an error, the reporting person's holdings were previously underreported by 226 shares, which are now included in this column. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 19:05 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 2,383 | $16.62 | $39,605.46 |
DisclosureSEC source: 0001758766-22-000150 · wf-form4_166077751292960.xml · nonDerivative · entry 4 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,625 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 $16.52 to $16.83. 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 |
| August 16, 2022 Filed Aug 17, 2022 19:05 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 21,200 | $15.93 | $337,800.80 |
DisclosureSEC source: 0001758766-22-000150 · wf-form4_166077751292960.xml · nonDerivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,008 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 $15.52 to $16.51. 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 15, 2022 Filed Aug 17, 2022 19:05 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 422 | $16.70 | $7,045.97 |
DisclosureSEC source: 0001758766-22-000150 · wf-form4_166077751292960.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,208 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 $16.67 to $16.74. 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 15, 2022 Filed Aug 17, 2022 19:05 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 60,220 | $16.24 | $977,972.80 |
DisclosureSEC source: 0001758766-22-000150 · wf-form4_166077751292960.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,630 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 $15.67 to $16.66. 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 |
| May 17, 2022 Filed May 19, 2022 11:19 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 37,284 | $7.62 | $284,133.91 |
DisclosureSEC source: 0001758766-22-000105 · wf-form4_165297352649499.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 345,850 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 31, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $7.245 to $7.865. 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 17:29 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 2,080 | $7.32 | $15,225.60 |
DisclosureSEC source: 0001758766-22-000098 · wf-form4_165239096168182.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,134 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 17:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 3,946 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000084 · wf-form4_165152668404362.xml · derivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,622 Underlying: Common Stock, Par Value $0.0001 Per Share · 3,946 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 15,785 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 15,785 RSUs vesting in equal annual installments over four years beginning on April 28, 2021 Read SEC document |
| April 28, 2022 Filed May 2, 2022 17:27 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 3,946 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000084 · wf-form4_165152668404362.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,214 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 |
| March 15, 2022 Filed Mar 17, 2022 21:49 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 74,072 | $7.96 Strike: $2.41 | $589,613.12 |
DisclosureSEC source: 0001758766-22-000056 · wf-form4_164756816553973.xml · derivative · entry 6 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 822,146 Underlying: Common Stock, Par Value $0.0001 Per Share · 74,072 shares Expires 2029-10-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:49 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 105,928 | $7.96 Strike: $1.67 | $843,186.88 |
DisclosureSEC source: 0001758766-22-000056 · wf-form4_164756816553973.xml · derivative · entry 5 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 896,218 Underlying: Common Stock, Par Value $0.0001 Per Share · 105,928 shares Expires 2027-05-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:49 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 41,820 | $7.96 | $332,887.20 |
DisclosureSEC source: 0001758766-22-000056 · wf-form4_164756816553973.xml · nonDerivative · entry 4 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,268 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:49 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 74,072 | $2.41 | $178,513.52 |
DisclosureSEC source: 0001758766-22-000056 · wf-form4_164756816553973.xml · nonDerivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,088 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:49 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 51,703 | $7.96 | $411,555.88 |
DisclosureSEC source: 0001758766-22-000056 · wf-form4_164756816553973.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 349,016 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:49 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 105,928 | $1.67 | $176,899.76 |
DisclosureSEC source: 0001758766-22-000056 · wf-form4_164756816553973.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,719 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 20:35 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 93,783 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000037 · wf-form4_164635767781184.xml · derivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,568 Underlying: Common Stock, Par Value $0.0001 Per Share · 93,783 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") award represents the contingent right to receive one (1) share of common stock. F3 · derivative.exercise_date: The RSU award vests ratably over four years beginning March 1, 2022. F3 · derivative.expiration_date: The RSU award vests ratably over four years beginning March 1, 2022. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 20:35 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 146,535 | $0.00 Strike: $9.33 | $0.00 |
DisclosureSEC source: 0001758766-22-000037 · wf-form4_164635767781184.xml · derivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,002,146 Underlying: Common Stock, Par Value $0.0001 Per Share · 146,535 shares Expires 2032-02-29 F1 · derivative.exercise_date: The option vests in four equal annual installments beginning March 1, 2022. Read SEC document |
| December 02, 2021 Filed Dec 3, 2021 17:35 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 3,000 | $20.34 | $61,032.00 |
DisclosureSEC source: 0001758766-21-000224 · wf-form4_163857090360448.xml · nonDerivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,791 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 31, 2021. F4 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $20.00 to $20.66. 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 |
| December 01, 2021 Filed Dec 3, 2021 17:35 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,027 | $21.49 | $108,054.36 |
DisclosureSEC source: 0001758766-21-000224 · wf-form4_163857090360448.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,791 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 31, 2021. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $21.25 to $21.94. 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 |
| December 01, 2021 Filed Dec 3, 2021 17:35 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 4,973 | $20.77 | $103,283.24 |
DisclosureSEC source: 0001758766-21-000224 · wf-form4_163857090360448.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,818 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 31, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $20.24 to $21.23. 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 17, 2021 Filed Nov 19, 2021 18:20 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 1,400 | $22.69 | $31,766.56 |
DisclosureSEC source: 0001758766-21-000206 · wf-form4_163736399098506.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,791 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 31, 2021. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $22.47 to $23.22. 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 17, 2021 Filed Nov 19, 2021 18:20 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 11,056 | $22.01 | $243,342.56 |
DisclosureSEC source: 0001758766-21-000206 · wf-form4_163736399098506.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 309,191 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 31, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $21.47 to $22.46. 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, 2021 Filed Nov 17, 2021 11:31 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 12,456 | $24.56 | $305,860.82 |
DisclosureSEC source: 0001758766-21-000199 · wf-form4_163716670463599.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,247 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 31, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $24.20 to $25.09. 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 25, 2021 Filed Aug 27, 2021 17:26 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 150,000 | $24.87 Strike: $1.67 | $3,730,500.00 |
DisclosureSEC source: 0001758766-21-000161 · wf-form4_163009958578464.xml · derivative · entry 3 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 855,611 Underlying: Common Stock, Par Value $0.0001 Per Share · 150,000 shares Expires 2027-05-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 17:26 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 74,504 | $24.87 | $1,852,914.48 |
DisclosureSEC source: 0001758766-21-000161 · wf-form4_163009958578464.xml · nonDerivative · entry 2 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,703 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 17:26 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 150,000 | $1.67 | $250,500.00 |
DisclosureSEC source: 0001758766-21-000161 · wf-form4_163009958578464.xml · nonDerivative · entry 1 BUSH WILLIAM JOHN · CIK 0001241516 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 407,207 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.