Homenock Kim 4
4 · STEM, INC. · Filed Mar 16, 2023
Insider Transaction Report
Form 4
STEM, INC.STEM
Homenock Kim
Chief People Officer
Transactions
- Exercise/Conversion
Common Stock, Par Value $0.0001 Per Share
2023-03-14+70,092→ 96,794 total - Sale
Common Stock, Par Value $0.0001 Per Share
2023-03-15$6.72/sh−27,063$181,796→ 69,731 total - Exercise/Conversion
Restricted Stock Unit
2023-03-14−70,092→ 118,488 total→ Common Stock, Par Value $0.0001 Per Share (70,092 underlying)
Footnotes (4)
- [F1]Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on March 14, 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 $6.71 to $6.75. 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]On March 14, 2022, the reporting person was granted 53,404 RSUs vesting 100% on March 14, 2023 and 66,755 RSUs vesting in four equal annual installments beginning on March 14, 2023.