Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STEM, INC.STEM · Entity 7172 | Chief Revenue Officer | 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.
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 | 229,749 |
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 229,749 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 19:26 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 125,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000101 · wk-form4_1716938768.xml · derivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 229,749 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 | 24,142 | $1.87 | $45,145.54 |
DisclosureSEC source: 0001758766-24-000080 · wk-form4_1714512051.xml · nonDerivative · entry 3 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 212,910 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 | 4,254 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000080 · wk-form4_1714512051.xml · derivative · entry 5 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 104,749 Underlying: Common Stock, Par Value $0.0001 Per Share · 4,254 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 17,018 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 17,018 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: 0001758766-24-000080 · wk-form4_1714512051.xml · derivative · entry 4 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 109,003 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 | 4,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000080 · wk-form4_1714512051.xml · nonDerivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 237,052 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: 0001758766-24-000080 · wk-form4_1714512051.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 232,798 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 04, 2024 Filed Mar 5, 2024 16:23 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 7,153 | $2.48 | $17,739.44 |
DisclosureSEC source: 0001758766-24-000038 · wk-form4_1709673789.xml · nonDerivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 167,798 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 |
| March 01, 2024 Filed Mar 5, 2024 16:23 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 16,747 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000038 · wk-form4_1709673789.xml · derivative · entry 3 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 174,003 Underlying: Common Stock, Par Value $0.0001 Per Share · 16,747 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 March 1, 2022, the reporting person was granted 66,988 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 66,988 RSUs vesting in four equal annual installments beginning on March 1, 2023. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 16:23 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000038 · wk-form4_1709673789.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 174,951 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 16:55 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 14,390 | $3.17 | $45,616.30 |
DisclosureSEC source: 0001758766-24-000018 · wk-form4_1708466088.xml · nonDerivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 158,204 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 16:55 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 64,320 | $0.00 Strike: $3.37 | $0.00 |
DisclosureSEC source: 0001758766-24-000018 · wk-form4_1708466088.xml · derivative · entry 4 Russo Alan · CIK 0001864029 · Chief Revenue 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 16:55 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 33,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000018 · wk-form4_1708466088.xml · derivative · entry 3 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 190,750 Underlying: Common Stock, Par Value $0.0001 Per Share · 33,000 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 February 15, 2023, the reporting person was granted 100,000 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 100,000 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 16:55 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 33,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000018 · wk-form4_1708466088.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 172,594 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 10, 2023 Filed Aug 14, 2023 17:06 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 13,427 | $6.50 | $87,275.50 |
DisclosureSEC source: 0001758766-23-000116 · wk-form4_1692047205.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 139,594 Read SEC document |
| May 01, 2023 Filed May 3, 2023 09:31 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 1,553 | $4.12 | $6,398.36 |
DisclosureSEC source: 0001758766-23-000069 · wf-form4_168312069420480.xml · nonDerivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 153,021 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 3, 2023 09:31 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 4,255 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000069 · wf-form4_168312069420480.xml · derivative · entry 3 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 223,750 Underlying: Common Stock, Par Value $0.0001 Per Share · 4,255 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 17,018 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 17,018 RSUs vesting in four equal annual installments beginning on April 28, 2022. Read SEC document |
| April 28, 2023 Filed May 3, 2023 09:31 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 4,255 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000069 · wf-form4_168312069420480.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 154,574 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 01, 2023 Filed Mar 3, 2023 17:06 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000025 · wf-form4_167788111829058.xml · derivative · entry 3 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,005 Underlying: Common Stock, Par Value $0.0001 Per Share · 16,747 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 66,988 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 66,988 RSUs vesting in four equal annual installments beginning on March 1, 2023. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 17:06 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 6,022 | $8.10 | $48,795.66 |
DisclosureSEC source: 0001758766-23-000025 · wf-form4_167788111829058.xml · nonDerivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,319 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 17:06 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000025 · wf-form4_167788111829058.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,341 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 20:53 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 129,183 | $0.00 Strike: $10.25 | $0.00 |
DisclosureSEC source: 0001758766-23-000018 · wf-form4_167668516048834.xml · derivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,183 Underlying: Common Stock, Par Value $0.0001 Per Share · 129,183 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 20:53 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000018 · wf-form4_167668516048834.xml · derivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,752 Underlying: Common Stock, Par Value $0.0001 Per Share · 100,000 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 15, 2024. F2 · derivative.expiration_date: The RSU award vests in three equal annual installments beginning on February 15, 2024. Read SEC document |
| August 09, 2022 Filed Aug 10, 2022 21:52 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 81,803 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001864029-22-000006 · wf-form4_166018275983052.xml · derivative · entry 6 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, Par Value $0.0001 Per Share · 81,803 shares Expires 2029-01-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 09, 2022 Filed Aug 10, 2022 21:52 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 31,766 | $0.00 Strike: $6.81 | $0.00 |
DisclosureSEC source: 0001864029-22-000006 · wf-form4_166018275983052.xml · derivative · entry 5 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Stock, Par Value $0.0001 Per Share · 31,766 shares Expires 2030-12-02 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 09, 2022 Filed Aug 10, 2022 21:52 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 113,569 | $14.70 | $1,669,464.30 |
DisclosureSEC source: 0001864029-22-000006 · wf-form4_166018275983052.xml · nonDerivative · entry 4 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,594 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.65 to $14.73. 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 09, 2022 Filed Aug 10, 2022 21:52 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 46,641 | $14.70 | $685,622.70 |
DisclosureSEC source: 0001864029-22-000006 · wf-form4_166018275983052.xml · nonDerivative · entry 3 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,163 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.65 to $14.73. 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 09, 2022 Filed Aug 10, 2022 21:52 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 81,803 | $2.27 | $185,692.81 |
DisclosureSEC source: 0001864029-22-000006 · wf-form4_166018275983052.xml · nonDerivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,804 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 09, 2022 Filed Aug 10, 2022 21:52 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 31,766 | $6.81 | $216,326.46 |
DisclosureSEC source: 0001864029-22-000006 · wf-form4_166018275983052.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,001 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 10, 2022 Filed May 12, 2022 17:21 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 1,564 | $7.32 | $11,448.48 |
DisclosureSEC source: 0001758766-22-000095 · wf-form4_165239048361152.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,235 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 17:19 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 4,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000081 · wf-form4_165152615060533.xml · derivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,752 Underlying: Common Stock, Par Value $0.0001 Per Share · 4,254 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 17,018 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 17,018 RSUs vesting in equal annual installments over four years beginning on April 28, 2021. Read SEC document |
| April 28, 2022 Filed May 2, 2022 17:19 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 4,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000081 · wf-form4_165152615060533.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,799 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 09, 2022 Filed Mar 10, 2022 17:01 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 43,951 | $2.27 Strike: $2.27 | $99,768.77 |
DisclosureSEC source: 0001864029-22-000002 · wf-form4_164694964000036.xml · derivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,803 Underlying: Common Stock, Par Value $0.0001 Per Share · 43,951 shares Expires 2029-01-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 09, 2022 Filed Mar 10, 2022 17:01 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 43,951 | $2.27 | $99,768.77 |
DisclosureSEC source: 0001864029-22-000002 · wf-form4_164694964000036.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,545 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 20:37 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 66,988 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000040 · wf-form4_164635781497334.xml · derivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,006 Underlying: Common Stock, Par Value $0.0001 Per Share · 66,988 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") award represents the contingent right to receive one (1) share of common stock. F3 · derivative.exercise_date: The RSU award vests ratably over four years beginning March 1, 2022. F3 · derivative.expiration_date: The RSU award vests ratably over four years beginning March 1, 2022. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 20:37 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 104,668 | $0.00 Strike: $9.33 | $0.00 |
DisclosureSEC source: 0001758766-22-000040 · wf-form4_164635781497334.xml · derivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,189 Underlying: Common Stock, Par Value $0.0001 Per Share · 104,668 shares Expires 2032-02-29 F1 · derivative.exercise_date: The option vests in four equal annual installments beginning March 1, 2022. Read SEC document |
| November 02, 2021 Filed Nov 4, 2021 11:25 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 8,500 | $25.01 | $212,570.55 |
DisclosureSEC source: 0001758766-21-000177 · wf-form4_163603950640377.xml · nonDerivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,594 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 September 1, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $25.00 to $25.05. 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 02, 2021 Filed Jul 6, 2021 19:45 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 17,018 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-21-000129 · wf-form4_162561513544415.xml · derivative · entry 2 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,018 Underlying: Common Stock, Par Value $0.0001 Per Share · 17,018 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one (1) share of common stock, par value $0.0001 per share. F3 · derivative.exercise_date: The RSU award vests ratably over four years beginning April 28, 2021. F3 · derivative.expiration_date: The RSU award vests ratably over four years beginning April 28, 2021. Read SEC document |
| July 02, 2021 Filed Jul 6, 2021 19:45 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 65,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-21-000129 · wf-form4_162561513544415.xml · derivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock, Par Value $0.0001 Per Share · 65,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one (1) share of common stock, par value $0.0001 per share. F2 · derivative.exercise_date: The RSU award vests 100% on April 28, 2024. F2 · derivative.expiration_date: The RSU award vests 100% on April 28, 2024. Read SEC document |
| May 28, 2021 Filed Jun 2, 2021 14:03 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 14,182 | $0.00 Strike: $25.34 | $0.00 |
DisclosureSEC source: 0001758766-21-000085 · wf-form4_162265697120256.xml · derivative · entry 1 Russo Alan · CIK 0001864029 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,703 Underlying: Common Stock · 14,182 shares Expires 2031-05-27 F1 · derivative.exercise_date: The option becomes exercisable in four equal annual installments beginning on May 28, 2021. 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.