Patel Prakesh's Form 4 filing
Stem, Inc. (STEM) · filed May 3, 2023
- Accession no.
- 0001758766-23-000071
- Filed
- May 3, 2023
- Trade date
- Apr 28-May 1, 2023
- Filing delay
- 5 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $5.19K. It was filed 5 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 |
|---|---|
| Patel PrakeshCIK 0001863629 | Officer (Chief Strategy 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 28, 2023 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseAcquired | +3,453 | $0.00F1 | $0 | 68,727 | Direct | |
| May 1, 2023 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −1,260 | $4.12 | −$5,191.2 | 67,467 | 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 28, 2023 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseDisposed | −3,453 | $0.00 | $0 | 222,147 | 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") granted on July 2, 2021 under the Stem, Inc. 2021 Equity Incentive Plan.
Referenced by the price of 1 transaction in Table I.