Initial Statement of Beneficial Ownership (3)
May 25 2021 - 5:47PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BUZBY DAVID S |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/28/2021
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3. Issuer Name and Ticker or Trading Symbol
STEM, INC. [STEM]
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(Last)
(First)
(Middle)
100 ROLLINS ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
MILLBRAE, CA 94030
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 453302 | D | |
Common Stock | 89684 | I | Held by the David S. Buzby Revocable Trust (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | 1/1/2019 | 7/20/2025 | Common Stock | 32978.0 | $1.25 | D | |
Stock Option | 10/28/2019 | 10/27/2025 | Common Stock | 27596.0 | $1.25 | D | |
Stock Option | (2) | 10/31/2028 | Common Stock | 189734.0 | $2.27 | D | |
Explanation of Responses: |
(1) | David Buzby, sole trustee of the David S. Buzby Revocable Trust, exercises beneficial ownership of shares held by the David S. Buzby Revocable Trust. |
(2) | Granted November 1, 2018, vesting commencement date of January 1, 2018, 25% vested and exercisable on first anniversary date of vesting commencement date, then an additional 1/48th vested and exercisable on each monthly anniversary thereafter, subject to continuing service on each vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BUZBY DAVID S 100 ROLLINS ROAD MILLBRAE, CA 94030 | X |
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Signatures
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David Buzby by William Bush, Attorney-in-Fact | | 5/25/2021 |
**Signature of Reporting Person | Date |
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