Patel Prakesh's Form 4 filing
Stem, Inc. (STEM) · filed Feb 20, 2024
- Accession no.
- 0001758766-24-000016
- 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 $45.6K. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 15, 2024 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseAcquired | +33,000 | $0.00 | $0 | 100,467 | Direct | |
| Feb 16, 2024 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −14,389 | $3.17F1 | −$45,613.13 | 86,078 | 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 | −33,000 | $0.00 | $0 | 189,147 | Direct | |
| Feb 15, 2024 | Common Stock, Par Value $0.0001 Per Share | AGrant or awardAcquired | +64,320 | $0.00 | $0 | 64,320 | 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 automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.
Referenced by the price of 1 transaction in Table I.