Morgan Michael C's Form 4 filing
Stem, Inc. (STEM) · filed Mar 17, 2022
- Accession no.
- 0001758766-22-000054
- Filed
- Mar 17, 2022
- Trade date
- Mar 15, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market purchases total $1.14M. 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 |
|---|---|
| Morgan Michael CCIK 0001250209 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 15, 2022 | Common Stock, Par Value $0.0001 Per Share | PPurchaseAcquired | +75,000 | $7.62F1 | +$571,500 | 1,178,937 | Indirect | |
| Mar 15, 2022 | Common Stock, Par Value $0.0001 Per Share | PPurchaseAcquired | +37,500 | $7.62F1 | +$285,750 | 37,500 | Indirect | |
| Mar 15, 2022 | Common Stock, Par Value $0.0001 Per Share | PPurchaseAcquired | +37,500 | $7.62F1 | +$285,750 | 37,500 | 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.
- F1
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.43 to $7.97, inclusive. The reporting person undertakes to provide to Stem, Inc., any security holder of Stem, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.
Referenced by the price of 3 transactions in Table I.