Form Type: 4

SEC EDGAR Link
Accession Number:0001758766-22-000150
Date:2022-08-15
Issuer: STEM, INC. (STEM)
Original Submission Date:

Reporting Person:

BUSH WILLIAM JOHN
100 CALIFORNIA STREET
14TH FLOOR SAN FRANCISCO, CA 94111

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $0.0001 PER SHARE 2022-08-15 S 60,220 d $16.24 285,630 direct
COMMON STOCK, PAR VALUE $0.0001 PER SHARE 2022-08-15 S 422 d $16.70 285,208 direct
COMMON STOCK, PAR VALUE $0.0001 PER SHARE 2022-08-16 S 21,200 d $15.93 264,008 direct
COMMON STOCK, PAR VALUE $0.0001 PER SHARE 2022-08-16 S 2,383 d $16.62 261,625 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the sale reported in the form 4 was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person.
f2 the price reported is a weighted average price. the shares were sold in multiple transactions at per share prices ranging from $15.67 to $16.66. the reporting person undertakes to provide upon request to the sec staff, the issuer, or any stockholder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f3 the price reported is a weighted average price. the shares were sold in multiple transactions at per share prices ranging from $16.67 to $16.74. the reporting person undertakes to provide upon request to the sec staff, the issuer, or any stockholder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f4 the price reported is a weighted average price. the shares were sold in multiple transactions at per share prices ranging from $15.52 to $16.51. the reporting person undertakes to provide upon request to the sec staff, the issuer, or any stockholder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f5 the price reported is a weighted average price. the shares were sold in multiple transactions at per share prices ranging from $16.52 to $16.83. the reporting person undertakes to provide upon request to the sec staff, the issuer, or any stockholder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Elevate your investments