Form Type: 4

SEC EDGAR Link
Accession Number:0001758766-22-000158
Date:2022-09-07
Issuer: STEM, INC. (STEM)
Original Submission Date:

Reporting Person:

TAMMINEEDI ANIL
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 2022-09-07 S 100,000 d $15.52 4,489,849 indirect f2
COMMON STOCK, PAR VALUE $0.0001 PER SHARE 2022-09-08 S 100,000 d $15.84 4,389,849 indirect f4
COMMON STOCK, PAR VALUE $0.0001 PER SHARE 2022-09-09 S 100,000 d $16.38 4,289,849 indirect f6
COMMON STOCK, PAR VALUE $0.0001 PER SHARE 2022-09-07 0 $0.00 5,524 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 price reported is a weighted average price. the shares were sold in multiple transactions at per share prices ranging from $15.37 to $15.645. 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 4,489,849 shares held by angeleno investors iii, l.p. mr. tammineedi is a principal at angeleno group, an affiliate of angeleno investors iii, l.p., and may be deemed to share voting and investment power with respect to all shares held by angeleno investors iii, l.p.
f3 the price reported is a weighted average price. the shares were sold in multiple transactions at per share prices ranging from $15.50 to $16.24. 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 4,389,849 shares held by angeleno investors iii, l.p. mr. tammineedi is a principal at angeleno group, an affiliate of angeleno investors iii, l.p., and may be deemed to share voting and investment power with respect to all shares held by angeleno investors iii, l.p.
f5 the price reported is a weighted average price. the shares were sold in multiple transactions at per share prices ranging from $16.30 to $16.70. 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.
f6 4,289,849 shares held by angeleno investors iii, l.p. mr. tammineedi is a principal at angeleno group, an affiliate of angeleno investors iii, l.p., and may be deemed to share voting and investment power with respect to all shares held by angeleno investors iii, l.p.

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