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STEM, INC.·4

Feb 20, 4:49 PM ET

Schaefer Robert 4

4 · STEM, INC. · Filed Feb 20, 2024

Insider Transaction Report

Form 4
Period: 2024-02-15
STEM, INC.STEM
Schaefer Robert
President, AlsoEnergy
Transactions
  • Exercise/Conversion

    Common Stock, Par Value $0.0001 Per Share

    2024-02-15+21,710→ 749,541 total
  • Sale

    Common Stock, Par Value $0.0001 Per Share

    2024-02-16$3.17/sh−7,866$24,935→ 741,675 total
  • Exercise/Conversion

    Restricted Stock Unit

    2024-02-15−21,710→ 94,320 total
    Exercise: $0.00→ Common Stock, Par Value $0.0001 Per Share (21,710 underlying)
Holdings

  • Common Stock, Par Value $0.0001 Per Share

    (indirect: By Trust)
    268,943

  • Common Stock, Par Value $0.0001 Per Share

    (indirect: By Trust)
    268,943

  • Common Stock, Par Value $0.0001 Per Share

    (indirect: By Trust)
    537,886
Footnotes (5)
  • [F1]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.
  • [F2]Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor.
  • [F3]Held by the 2021 K.B. Schaefer Legacy Trust, of which the reporting person is the settlor.
  • [F4]Held by the Schaefer Descendants Trust, of which the reporting person is the settlor.
  • [F5]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.

Documents

3 files