4//SEC Filing
MORGAN MICHAEL C 4
Accession 0001758766-23-000102
CIK 0001758766other
Filed
Jun 19, 8:00 PM ET
Accepted
Jun 20, 4:21 PM ET
Size
232.7 KB
Accession
0001758766-23-000102
Insider Transaction Report
Form 4
STEM, INC.STEM
MORGAN MICHAEL C
Director10% Owner
Transactions
- Exercise/Conversion
Restricted Stock Unit
2023-06-15−20,498→ 23,489 total→ Common Stock, Par Value $0.0001 Per Share (20,498 underlying) - Exercise/Conversion
Common Stock, Par Value $0.0001 Per Share
2023-06-15+20,498→ 20,498 total
Holdings
- 547,705(indirect: By Trust)
Common Stock, Par Value $0.0001 Per Share
- 37,500(indirect: By Trust)
Common Stock, Par Value $0.0001 Per Share
- 1,178,937(indirect: Held by Portcullis Investments, LP)
Common Stock, Par Value $0.0001 Per Share
- 50,000(indirect: Held by Portcullis Partners, LP)
Common Stock, Par Value $0.0001 Per Share
- 37,500(indirect: By Trust)
Common Stock, Par Value $0.0001 Per Share
Footnotes (8)
- [F1]Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") that were issued to the reporting person on July 28, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
- [F2]The reporting person serves as Manager of the general partner, Portcullis G.P., LLC, for, and he and his spouse indirectly hold interests in, Portcullis Investments, L.P. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
- [F3]The reporting person serves as Manager of the general partner, Portcullis G.P., LLC, for, and he and his spouse indirectly hold interests in, Portcullis Partners, L.P. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
- [F4]Includes 5,524 shares previously disclosed as directly owned by the reporting person that were transferred to the trust in June 2022.
- [F5]Held by a trust of which the reporting person is a trustee.
- [F6]Held by a family trust (M GST) of which the reporting person is an investment adviser.
- [F7]Held by a family trust (C GST) of which the reporting person is an investment adviser.
- [F8]On July 28, 2022, the reporting person was granted 20,498 RSUs vesting 100% on June 15, 2023.
Issuer
STEM, INC.
CIK 0001758766
Entity typeother
Related Parties
1- filerCIK 0001250209
Filing Metadata
- Form type
- 4
- Filed
- Jun 19, 8:00 PM ET
- Accepted
- Jun 20, 4:21 PM ET
- Size
- 232.7 KB