Carrington John Eugene's Form 4 filing
Stem, Inc. (STEM) · filed Aug 18, 2022
- Accession no.
- 0001758766-22-000151
- Filed
- Aug 18, 2022
- Trade date
- Aug 16-17, 2022
- 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 $888.1K. 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 |
|---|---|
| Carrington John EugeneCIK 0001434884 | Director, Officer (CEO and 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 16, 2022 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −26,560 | $15.94F2 | −$423,366.4 | 299,843 | Direct | |
| Aug 16, 2022 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −2,010 | $16.56F3 | −$33,285.6 | 297,833 | Direct | |
| Aug 17, 2022 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −27,870 | $15.09F4 | −$420,558.3 | 269,963 | Direct | |
| Aug 17, 2022 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −700 | $15.56F5 | −$10,892 | 269,263 | Direct |
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.
- F2
The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.48 to $16.47. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $16.48 to $16.77. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.52 to $15.51. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $15.52 to $15.66. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.