Schaefer Robert 4

4 · STEM, INC. · Filed Mar 5, 2024

Form 4

Period: 2024-03-01

President, AlsoEnergy

Transactions

Exercise/Conversion
Common Stock, Par Value $0.0001 Per Share
2024-03-01+16,747→ 758,422 total
Award
Common Stock, Par Value $0.0001 Per Share
2024-03-01+101,096→ 859,518 total
Sale
Common Stock, Par Value $0.0001 Per Share
2024-03-04$2.48/sh−5,945$14,744→ 853,573 total
Exercise/Conversion
Restricted Stock Unit
2024-03-01−16,747→ 77,573 total
Exercise: $0.00→ Common Stock, Par Value $0.0001 Per Share (16,747 underlying)

Holdings

Footnotes (6)

[F1]Held by the 2021 N.R. Schaefer Legacy Trust, of which the reporting person is the settlor.
[F2]Held by the 2021 K.B. Schaefer Legacy Trust, of which the reporting person is the settlor.
[F3]Held by the Schaefer Descendants Trust, of which the reporting person is the settlor.
[F4]Shares issued in connection with bonus earned under the Issuer's 2023 annual incentive plan based on attainment of corporate performance goals.
[F5]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.
[F6]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