Form Type: 4

SEC EDGAR Link
Accession Number:0001758766-22-000152
Date:2022-08-17
Issuer: STEM, INC. (STEM)
Original Submission Date:

Reporting Person:

BUZBY DAVID S
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 2022-08-17 S 67,000 d $15.51 608,711 indirect f3
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 price reported is a weighted average price. the shares were sold in multiple transactions at per share prices ranging from $15.50 to $15.52. 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.
f2 also reflects shares previously disclosed as directly owned by the reporting person. in march 2022, the reporting person transferred 672,148 shares of common stock to the trust, of which the reporting person is the sole trustee. as a result, the reporting person does not currently beneficially own any common stock directly.
f3 held by the 2016 david s. buzby revocable trust, of which the reporting person is sole trustee.

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