Johnson larsh's Form 4/A amendment
AmendedStem, Inc. (STEM) · filed Nov 17, 2022
- Accession no.
- 0001758766-22-000189
- Filed
- Nov 17, 2022
- Trade date
- Nov 14-15, 2022
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Nov 16, 2022
This filing lists 2 non-derivative transactions. Open-market sales total $348.5K. It was filed 3 days after the trade.
This amendment replaces 0001758766-22-000188 (filed Nov 16, 2022).
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 |
|---|---|
| Johnson larshCIK 0001864717 | Officer (Chief Technology 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2022 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −12,500 | $13.46F1 | −$168,250 | 119,956 | Indirect | |
| Nov 15, 2022 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −12,500 | $14.42F4 | −$180,250 | 107,456 | 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. The shares were sold in multiple transactions at per share prices ranging from $13.35 to $13.51. 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.
- F2
Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee.
- F3
Shares held by trust for which the Reporting Person is a trustee.
- F4
The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.07 to $14.81. 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
Due to an error, the Reporting Person's direct holdings were previously reported as indirect holdings, and overstated by 288 shares.
Remarks
This amendment is being filed to correct an error in the direct holdings of the Reporting Person as reported in the Form 4 filed on November 16, 2022. Line three has been added and the footnotes have been revised in this Form 4/A.