Carlson Michael James's Form 4 filing
Stem, Inc. (STEM) · filed Feb 20, 2024
- Accession no.
- 0001758766-24-000010
- Filed
- Feb 20, 2024
- Trade date
- Feb 15-16, 2024
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $31.5K. It was filed 5 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 |
|---|---|
| Carlson Michael JamesCIK 0001948274 | Officer (Chief Operating 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 15, 2024 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseAcquired | +26,052 | $0.00 | $0 | 30,319 | Direct | |
| Feb 16, 2024 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −9,952 | $3.17 | −$31,547.84 | 20,367 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 15, 2024 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseDisposed | −26,052 | $0.00 | $0 | 71,162 | Direct | |
| Feb 15, 2024 | Common Stock, Par Value $0.0001 Per Share | AGrant or awardAcquired | +109,344 | $0.00 | $0 | 109,344 | 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.
No transaction price on this filing refers to a footnote.