Johnson larsh 4

4 · STEM, INC. · Filed Mar 3, 2023

Form 4

Period: 2023-03-01

Chief Technical Officer

Transactions

Exercise/Conversion
Common Stock, Par Value $0.0001 Per Share
2023-03-01+16,747→ 58,157 total
Sale
Common Stock, Par Value $0.0001 Per Share
2023-03-01$8.10/sh−6,877$55,724→ 51,280 total
Exercise/Conversion
Restricted Stock Unit
2023-03-01−16,747→ 209,810 total
→ Common Stock, Par Value $0.0001 Per Share (16,747 underlying)

Holdings

Footnotes (5)

[F1]Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on March 1, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
[F2]Represents shares of common stock sold to cover the reporting person's tax liability in connection with the settlement of RSUs.
[F3]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.
[F4]Shares held by trust for which the reporting person is a trustee.
[F5]On March 1, 2022, the reporting person was granted 66,988 RSUs vesting in four equal annual installments beginning on March 1, 2023.

Documents

3 files