Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STEM, INC.STEM · Entity 7172 | President, Transformational | March 19, 2024 | March 20, 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 March 19, 2024 · Filed March 20, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | Direct | 716,110 |
Reported balance
After 2024-03-19 transaction · row 1
1 source rowRow 1 · 2024-03-19 · Sale · Disposed 100,000 · Balance 716,110 |
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | IndirectBy 2021 K.B. Schaefer Legacy Trust | 268,943 |
Reported balance
Holding disclosure · report date 2024-03-19 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 268,943 F1: Held by the 2021 K.B. Schaefer Legacy Trust, of which the reporting person is the settlor. |
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | IndirectBy 2021 N.R. Schaefer Legacy Trust | 268,943 |
Reported balance
Holding disclosure · report date 2024-03-19 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 268,943 F2: Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor. |
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | IndirectBy Trust | 537,886 |
Reported balance
Holding disclosure · report date 2024-03-19 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 537,886 |
Filing footnotes · ownership attribution and instrument terms
F1: Held by the 2021 K.B. Schaefer Legacy Trust, of which the reporting person is the settlor.
F2: Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 19, 2024 Filed Mar 20, 2024 22:08 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 100,000 | $1.82 | $182,000.00 |
DisclosureSEC source: 0001758766-24-000060 · wk-form4_1710972481.xml · nonDerivative · entry 1 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 716,110 Read SEC document |
| March 08, 2024 Filed Mar 12, 2024 20:16 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 37,463 | $2.19 | $82,043.97 |
DisclosureSEC source: 0001758766-24-000051 · wk-form4_1710274575.xml · nonDerivative · entry 1 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 816,110 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 21:23 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,945 | $2.48 | $14,743.60 |
DisclosureSEC source: 0001758766-24-000039 · wk-form4_1709673809.xml · nonDerivative · entry 6 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 853,573 F5 · 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 21:23 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 16,747 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000039 · wk-form4_1709673809.xml · derivative · entry 7 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,573 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. F6 · 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. F6 · 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 21:23 UTC | STEM, INC. STEM · Entity 7172 | GrantCommon Stock, Par Value $0.0001 Per Share | 101,096 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000039 · wk-form4_1709673809.xml · nonDerivative · entry 5 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 859,518 F4 · 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 21:23 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000039 · wk-form4_1709673809.xml · nonDerivative · entry 1 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 758,422 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 21:49 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 7,866 | $3.17 | $24,935.22 |
DisclosureSEC source: 0001758766-24-000014 · wk-form4_1708465738.xml · nonDerivative · entry 2 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 741,675 F1 · shares: Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:49 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 21,710 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000014 · wk-form4_1708465738.xml · derivative · entry 6 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 94,320 Underlying: Common Stock, Par Value $0.0001 Per Share · 21,710 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. F5 · derivative.exercise_date: On February 15, 2023, the reporting person was granted 65,789 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. F5 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 65,789 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:49 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 21,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000014 · wk-form4_1708465738.xml · nonDerivative · entry 1 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 749,541 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, 2023 Filed Mar 17, 2023 21:24 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 11,364 | $6.85 | $77,843.40 |
DisclosureSEC source: 0001758766-23-000045 · wf-form4_167908823753625.xml · nonDerivative · entry 1 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 727,831 Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 20:45 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 5,383 | $8.58 | $46,186.68 |
DisclosureSEC source: 0001758766-23-000039 · wf-form4_167874033477929.xml · nonDerivative · entry 1 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 739,195 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. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 22:10 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000027 · wf-form4_167788137162856.xml · derivative · entry 5 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,030 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. F5 · 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. F5 · 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 22:10 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000027 · wf-form4_167788137162856.xml · nonDerivative · entry 1 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,578 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 18, 2023 01:40 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 84,989 | $0.00 Strike: $10.25 | $0.00 |
DisclosureSEC source: 0001758766-23-000015 · wf-form4_167668441827462.xml · derivative · entry 2 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,989 Underlying: Common Stock, Par Value $0.0001 Per Share · 84,989 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 18, 2023 01:40 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 65,789 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000015 · wf-form4_167668441827462.xml · derivative · entry 1 Schaefer Robert · CIK 0001916675 · President, Transformational 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,777 Underlying: Common Stock, Par Value $0.0001 Per Share · 65,789 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 |
| March 14, 2022 Filed Mar 15, 2022 20:09 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 667,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000050 · wf-form4_164737495464841.xml · derivative · entry 1 Schaefer Robert · CIK 0001916675 · President, AlsoEnergy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,556 Underlying: Common Stock, Par Value $0.0001 Per Share · 667,556 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: Vests 100% on March 13, 2025, subject to the reporting person's employment with the issuer on such date. F2 · derivative.expiration_date: Vests 100% on March 13, 2025, subject to the reporting person's employment with the issuer on such date. Read SEC document |
| March 01, 2022 Filed Mar 15, 2022 20:09 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 104,668 | $0.00 Strike: $9.33 | $0.00 |
DisclosureSEC source: 0001758766-22-000050 · wf-form4_164737495464841.xml · derivative · entry 3 Schaefer Robert · CIK 0001916675 · President, AlsoEnergy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,668 Underlying: Common Stock, Par Value $0.0001 Per Share · 104,668 shares Expires 2032-02-29 F4 · derivative.exercise_date: Vests in four equal annual installments from the date of grant, subject to the reporting person's continuous employment with the issuer on each anniversary date of grant. Read SEC document |
| March 01, 2022 Filed Mar 15, 2022 20:09 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 66,988 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000050 · wf-form4_164737495464841.xml · derivative · entry 2 Schaefer Robert · CIK 0001916675 · President, AlsoEnergy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,988 Underlying: Common Stock, Par Value $0.0001 Per Share · 66,988 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. F3 · derivative.exercise_date: Vests in four equal annual installments from the date of grant, subject to the reporting person's continuous employment with the issuer on each anniversary date of grant. F3 · derivative.expiration_date: Vests in four equal annual installments from the date of grant, subject to the reporting person's continuous employment with the issuer on each anniversary date of grant. 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.