Shukla Rahul's Form 4 filing
Stem, Inc. (STEM) · filed May 6, 2025
- Accession no.
- 0000950170-25-064859
- Filed
- May 6, 2025, 9:27 PM ET
- Trade date
- Oct 10, 2024-May 2, 2025
- Filing delay
- 208 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 7 non-derivative transactions and 4 derivative transactions. Open-market sales total $23.2K. It was filed 208 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Shukla RahulCIK 0001900919 | Officer (Chief Accounting Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 22, 2025 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseAcquired | +8,000 | $0.00 | $0 | 8,000 | Direct | |
| Jan 23, 2025 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −3,534 | $0.65 | −$2,297.1 | 4,466 | Direct | |
| Feb 24, 2025 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseAcquired | +19,951 | $0.00 | $0 | 24,417 | Direct | |
| Feb 25, 2025 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −9,048 | $0.512 | −$4,632.58 | 15,369 | Direct | |
| Mar 11, 2025 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseAcquired | +16,667 | $0.00 | $0 | 32,036 | Direct | |
| Mar 12, 2025 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −7,469 | $0.404 | −$3,017.48 | 24,567 | Direct | |
| May 2, 2025 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −24,567 | $0.541 | −$13,290.75 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 10, 2024 | Common Stock, Par Value $0.0001 Per Share | AGrant or awardAcquired | +115,000 | $0.00 | $0 | 221,508 | Direct | |
| Jan 22, 2025 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseDisposed | −8,000 | $0.00 | $0 | 213,508 | Direct | |
| Feb 24, 2025 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseDisposed | −19,951 | $0.00 | $0 | 193,557 | Direct | |
| Mar 11, 2025 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseDisposed | −16,667 | $0.00 | $0 | 176,890 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.