Tappin Matthew's Form 4 filing
Stem, Inc. (STEM) · filed Mar 5, 2024
- Accession no.
- 0001758766-24-000041
- Filed
- Mar 5, 2024
- Trade date
- Mar 1-4, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $14.2K. It was filed 4 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 |
|---|---|
| Tappin MatthewCIK 0001986259 | Officer (President, Asset Management) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2024 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseAcquired | +13,398 | $0.00 | $0 | 24,809 | Direct | |
| Mar 1, 2024 | Common Stock, Par Value $0.0001 Per Share | AGrant or awardAcquired | +51,539 | $0.00 | $0 | 76,348 | Direct | |
| Mar 4, 2024 | Common Stock, Par Value $0.0001 Per Share | SSaleDisposed | −5,724 | $2.48 | −$14,195.52 | 70,624 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2024 | Common Stock, Par Value $0.0001 Per Share | MOption exerciseDisposed | −13,398 | $0.00 | $0 | 81,714 | 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.