Daley Adam's Form 4 filing
Stem, Inc. (STEM) · filed Dec 2, 2021
- Accession no.
- 0001758766-21-000212
- Filed
- Dec 2, 2021
- Trade date
- Nov 30-Dec 2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market sales total $4.09M. It was filed 2 days after the trade.
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 |
|---|---|
| Daley AdamCIK 0001821227 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 30, 2021 | Common Stock, Par Value $0.0001 Per Share | JOtherAcquired | +10,051 | $0.00 | $0 | 442,776 | Indirect | |
| Nov 30, 2021 | Common Stock, Par Value $0.0001 Per Share | JOtherAcquired | +13,865 | $0.00 | $0 | 101,249 | Direct | |
| Dec 1, 2021 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −100,000 | $21.13 | −$2,113,000 | 342,776 | Indirect | |
| Dec 2, 2021 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −100,000 | $19.82 | −$1,982,000 | 242,776 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.