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4//SEC Filing

MORGAN MICHAEL C 4

Accession 0001758766-24-000136

CIK 0001758766other
View on SEC.govCompany Profile

Filed

Jun 9, 8:00 PM ET

Accepted

Jun 10, 4:14 PM ET

Size

11.9 KB

Accession

0001758766-24-000136

Insider Transaction Report

Form 4
Period: 2024-06-07
STEM, INC.STEM
MORGAN MICHAEL C
Director10% Owner
Transactions
  • Exercise/Conversion

    Common Stock, Par Value $0.0001 Per Share

    2024-06-07+23,489→ 43,987 total
  • Exercise/Conversion

    Restricted Stock Unit

    2024-06-07−23,489→ 110,236 total
    Exercise: $0.00→ Common Stock, Par Value $0.0001 Per Share (23,489 underlying)
Holdings

  • Common Stock, Par Value $0.0001 Per Share

    (indirect: Held by Portcullis Investments, LP)
    1,178,937

  • Common Stock, Par Value $0.0001 Per Share

    (indirect: By Trust)
    37,500

  • Common Stock, Par Value $0.0001 Per Share

    (indirect: By Trust)
    547,705

  • Common Stock, Par Value $0.0001 Per Share

    (indirect: Held by Portcullis Partners, LP)
    50,000

  • Common Stock, Par Value $0.0001 Per Share

    (indirect: By Trust)
    37,500
Footnotes (6)
  • [F1]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.
  • [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 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.
  • [F3]Held by a trust of which the reporting person is a trustee.
  • [F4]Held by a family trust (C GST) of which the reporting person is an investment adviser.
  • [F5]Held by a family trust (M GST) of which the reporting person is an investment adviser.
  • [F6]On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

Documents

1 file

Issuer

STEM, INC.

CIK 0001758766

→
Entity typeother

Related Parties

1
  • filerCIK 0001250209

Filing Metadata

Form type
4
Filed
Jun 9, 8:00 PM ET
Accepted
Jun 10, 4:14 PM ET
Size
11.9 KB
View on SEC.gov