Shukla Rahul's Form 4 filing
Stem, Inc. (STEM) · filed Feb 28, 2023
- Accession no.
- 0001758766-23-000022
- Filed
- Feb 28, 2023
- Trade date
- Jan 18-Feb 23, 2023
- Filing delay
- 41 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $34.5K. It was filed 41 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 21, 2023 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseAcquired | +8,000 | $0.00F1 | $0 | 8,000 | Direct | |
| Feb 21, 2023 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −4,193 | $8.23 | −$34,508.39 | 3,807 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 18, 2023 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseDisposed | −8,000 | $0.00 | $0 | 24,000 | Direct | |
| Feb 23, 2023 | Common Stock, Par Value $0.0001 Per Share | AGrant or awardAcquired | +60,459 | $0.00 | $0 | 84,459 | 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.
- F1
Represents shares of common stock issued to the reporting person upon vesting of restricted stock units ("RSUs") issued on February 9, 2022 under the Stem, Inc. 2021 Equity Incentive Plan.
Referenced by the price of 1 transaction in Table I.