Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STEM, INC.STEM · Entity 7172 | Chief Technology Officer | March 12, 2024 | March 14, 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 12, 2024 · Filed March 14, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | Direct | 78,739 |
Ending reported balance
After 2024-03-13 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-03-12 · Sale · Disposed 20,000 · Balance 100,167 Row 2 · 2024-03-13 · Sale · Disposed 21,428 · Balance 78,739 |
| Common Stock, Par Value $0.0001 Per ShareSEC Table I · non-derivative | IndirectBy Trust | 107,456 |
Reported balance
Holding disclosure · report date 2024-03-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 107,456 F1: Shares held by trust for which the Reporting Person is a trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held by trust for which the Reporting Person is a trustee.
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 13, 2024 Filed Mar 14, 2024 16:12 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 21,428 | $2.00 | $42,856.00 |
DisclosureSEC source: 0001758766-24-000054 · wk-form4_1710447115.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,739 Read SEC document |
| March 12, 2024 Filed Mar 14, 2024 16:12 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 20,000 | $2.00 | $40,000.00 |
DisclosureSEC source: 0001758766-24-000054 · wk-form4_1710447115.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,167 Read SEC document |
| March 08, 2024 Filed Mar 12, 2024 16:15 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 35,880 | $2.19 | $78,577.20 |
DisclosureSEC source: 0001758766-24-000049 · wk-form4_1710274538.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 120,167 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 16:22 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 7,153 | $2.48 | $17,739.44 |
DisclosureSEC source: 0001758766-24-000035 · wk-form4_1709673696.xml · nonDerivative · entry 3 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 156,047 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 16:22 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 16,747 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000035 · wk-form4_1709673696.xml · derivative · entry 5 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 161,821 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. 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, 2024 Filed Mar 5, 2024 16:22 UTC | STEM, INC. STEM · Entity 7172 | GrantCommon Stock, Par Value $0.0001 Per Share | 77,308 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000035 · wk-form4_1709673696.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 163,200 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 16:22 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000035 · wk-form4_1709673696.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,892 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 16:53 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 12,117 | $3.17 | $38,410.89 |
DisclosureSEC source: 0001758766-24-000017 · wk-form4_1708465979.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,145 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 16:53 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 27,789 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000017 · wk-form4_1708465979.xml · derivative · entry 4 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 178,568 Underlying: Common Stock, Par Value $0.0001 Per Share · 27,789 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 February 15, 2023, the reporting person was granted 84,210 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. F3 · derivative.expiration_date: On February 15, 2023, the reporting person was granted 84,210 RSUs vesting in three annual installments (33% / 33% / 34%) beginning on February 15, 2024. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 16:53 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 27,789 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-24-000017 · wk-form4_1708465979.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,262 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 3, 2023 09:32 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 1,260 | $4.12 | $5,191.20 |
DisclosureSEC source: 0001758766-23-000070 · wf-form4_168312074555683.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,473 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 09:32 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 3,453 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000070 · wf-form4_168312074555683.xml · derivative · entry 4 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 206,357 Underlying: Common Stock, Par Value $0.0001 Per Share · 3,453 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. F4 · derivative.exercise_date: On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in four equal annual installments beginning on April 28, 2022. F4 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in four equal annual installments beginning on April 28, 2022. Read SEC document |
| April 28, 2023 Filed May 3, 2023 09:32 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 3,453 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000070 · wf-form4_168312074555683.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,733 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 17:15 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000029 · wf-form4_167788169012591.xml · derivative · entry 4 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,810 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 17:15 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 6,877 | $8.10 | $55,723.64 |
DisclosureSEC source: 0001758766-23-000029 · wf-form4_167788169012591.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,280 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 17:15 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 16,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000029 · wf-form4_167788169012591.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,157 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 20:42 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 108,786 | $0.00 Strike: $10.25 | $0.00 |
DisclosureSEC source: 0001758766-23-000017 · wf-form4_167668454030196.xml · derivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,786 Underlying: Common Stock, Par Value $0.0001 Per Share · 108,786 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 20:42 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 84,210 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-23-000017 · wf-form4_167668454030196.xml · derivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,557 Underlying: Common Stock, Par Value $0.0001 Per Share · 84,210 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 |
| November 15, 2022 Filed Nov 16, 2022 19:13 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 12,500 | $14.42 | $180,228.75 |
DisclosureSEC source: 0001758766-22-000188 · wf-form4_166864400012462.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 107,456 F5 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.07 to $14.81. 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: Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee. As a result, the Reporting Person does not currently beneficially own any common stock directly. F3 · balance_after: Due to an error, the Reporting Person's indirect holdings were previously overstated by 41,698 shares, which have been excluded from this column. F4 · ownership.nature: Shares held by trust for which the Reporting Person is a trustee. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 17:21 UTC Amendment | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 12,500 | $14.42 | $180,228.75 |
DisclosureSEC source: 0001758766-22-000189 · wf-form4a_166872364273200.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 107,456 F4 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.07 to $14.81. 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: Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee. F3 · ownership.nature: Shares held by trust for which the Reporting Person is a trustee. Read SEC document |
| November 14, 2022 Filed Nov 16, 2022 19:13 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 12,500 | $13.46 | $168,250.00 |
DisclosureSEC source: 0001758766-22-000188 · wf-form4_166864400012462.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 119,956 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.35 to $13.51. 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. F2 · balance_after: Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee. As a result, the Reporting Person does not currently beneficially own any common stock directly. F3 · balance_after: Due to an error, the Reporting Person's indirect holdings were previously overstated by 41,698 shares, which have been excluded from this column. F4 · ownership.nature: Shares held by trust for which the Reporting Person is a trustee. Read SEC document |
| November 14, 2022 Filed Nov 17, 2022 17:21 UTC Amendment | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 12,500 | $13.46 | $168,250.00 |
DisclosureSEC source: 0001758766-22-000189 · wf-form4a_166872364273200.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 119,956 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.35 to $13.51. 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. F2 · balance_after: Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee. F3 · ownership.nature: Shares held by trust for which the Reporting Person is a trustee. Read SEC document |
| August 16, 2022 Filed Aug 16, 2022 18:44 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 10,000 | $16.09 | $160,851.00 |
DisclosureSEC source: 0001758766-22-000147 · wf-form4_166068984553185.xml · nonDerivative · entry 3 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,168 F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.95 to $16.57. 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 16, 2022 18:44 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 20,000 | $16.38 | $327,640.00 |
DisclosureSEC source: 0001758766-22-000147 · wf-form4_166068984553185.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,168 F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $16.09 to $16.57. 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 12, 2022 Filed Aug 16, 2022 18:44 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 30,000 | $15.44 | $463,290.00 |
DisclosureSEC source: 0001758766-22-000147 · wf-form4_166068984553185.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,168 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.21 to $15.60. 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 17:19 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 1,269 | $7.32 | $9,289.08 |
DisclosureSEC source: 0001758766-22-000094 · wf-form4_165239036357142.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,168 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 17:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionRestricted Stock Unit · Derivative | 3,453 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000082 · wf-form4_165152644184687.xml · derivative · entry 3 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,347 Underlying: Common Stock, Par Value $0.0001 Per Share · 3,453 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. F3 · derivative.exercise_date: On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in equal annual installments over four years beginning on April 28, 2021. F3 · derivative.expiration_date: On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in equal annual installments over four years beginning on April 28, 2021. Read SEC document |
| April 28, 2022 Filed May 2, 2022 17:21 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 3,453 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000082 · wf-form4_165152644184687.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,437 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan. Read SEC document |
| April 06, 2022 Filed Apr 11, 2022 17:10 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 39,226 | $0.00 Strike: $1.67 | $0.00 |
DisclosureSEC source: 0001864717-22-000002 · wf-form4_164971142059966.xml · derivative · entry 3 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,286 Underlying: Common Stock, Par Value $0.0001 Per Share · 39,226 shares Expires 2026-08-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 06, 2022 Filed Apr 11, 2022 17:10 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 39,226 | $1.67 | $65,507.42 |
DisclosureSEC source: 0001864717-22-000002 · wf-form4_164971142059966.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,984 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 20:41 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 66,988 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-22-000041 · wf-form4_164635809862796.xml · derivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,800 Underlying: Common Stock, Par Value $0.0001 Per Share · 66,988 shares Expires 2032-02-29 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 20:41 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 104,668 | $0.00 Strike: $9.33 | $0.00 |
DisclosureSEC source: 0001758766-22-000041 · wf-form4_164635809862796.xml · derivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 751,701 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 16, 2021 Filed Nov 17, 2021 19:49 UTC | STEM, INC. STEM · Entity 7172 | SaleCommon Stock, Par Value $0.0001 Per Share | 15,000 | $24.55 | $368,305.50 |
DisclosureSEC source: 0001758766-21-000202 · wf-form4_163719652717936.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 41,698 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 30, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $24.12 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. F3 · ownership.nature: Shares held by trust for which the reporting person is a trustee. Read SEC document |
| August 30, 2021 Filed Sep 1, 2021 18:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionStock Option (Right to Buy) · Derivative | 110,000 | $24.96 Strike: $1.67 | $2,745,600.00 |
DisclosureSEC source: 0001758766-21-000165 · wf-form4_163053458558596.xml · derivative · entry 4 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 647,033 Underlying: Common Stock, Par Value $0.0001 Per Share · 110,000 shares Expires 2026-08-09 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 30, 2021 Filed Sep 1, 2021 18:16 UTC | STEM, INC. STEM · Entity 7172 | Tax withholdingCommon Stock, Par Value $0.0001 Per Share | 53,302 | $24.96 | $1,330,417.92 |
DisclosureSEC source: 0001758766-21-000165 · wf-form4_163053458558596.xml · nonDerivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,758 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 30, 2021 Filed Sep 1, 2021 18:16 UTC | STEM, INC. STEM · Entity 7172 | Exercise / conversionCommon Stock, Par Value $0.0001 Per Share | 110,000 | $1.67 | $183,700.00 |
DisclosureSEC source: 0001758766-21-000165 · wf-form4_163053458558596.xml · nonDerivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,060 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 |
| July 02, 2021 Filed Jul 6, 2021 19:43 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 13,812 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-21-000121 · wf-form4_162561496847168.xml · derivative · entry 2 Johnson larsh · CIK 0001864717 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,812 Underlying: Common Stock, Par Value $0.0001 Per Share · 13,812 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. 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 19:43 UTC | STEM, INC. STEM · Entity 7172 | GrantRestricted Stock Unit · Derivative | 65,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001758766-21-000121 · wf-form4_162561496847168.xml · derivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technical 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") award represents the contingent right to receive one (1) share of common stock. 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 14:02 UTC | STEM, INC. STEM · Entity 7172 | GrantStock Option (Right to Buy) · Derivative | 34,530 | $0.00 Strike: $25.34 | $0.00 |
DisclosureSEC source: 0001758766-21-000084 · wf-form4_162265695629732.xml · derivative · entry 1 Johnson larsh · CIK 0001864717 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 757,033 Underlying: Common Stock · 34,530 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.