the securities held by Luxor Capital Partners Offshore Master Fund, LP, Luxor Capital Partners, LP and Luxor Wavefront LP, on behalf of Luxor Capital Group, LP, the investment manager of Luxor Capital Partners Offshore Master Fund, LP, Luxor Capital Partners, LP and Luxor Wavefront, LP. Michael Conboy may be deemed to have investment discretion and voting power over the securities held by Thebes Offshore Master Fund, LP on behalf of Luxor Capital Group, LP, the investment manager of Thebes Offshore Master Fund, LP. Jonathan Green may be deemed to have investment discretion and voting power over the securities held by Lugard Road Capital Master Fund, LP on behalf of Luxor Capital Group, LP, the investment manager of Lugard Road Capital Master Fund, LP. The address of each entity listed in this footnote is 1114 Avenue of the Americas, 28th Floor, New York, NY 10036.
(16)
The address of Major Tom Capital LLC is c/o Beemok Capital, LLC, 200 Meeting Street, Suite 206, Charleston, SC 29401.
(17)
The address of PFM04 LLC is c/o 2912 Advisors LP, 405 Lexington Avenue, 34th FL NY, NY 10174.
(18)
The general partner of Portcullis Partners, LP is Portcullis G.P., LLC (the “General Partner”). Michael C. Morgan is the Manager of the General Partner and President of Portcullis Partners, LP. The address of each entity listed in this footnote is 11 Greenway Plaza, Suite 2000, Houston, TX 77046.
(19)
The address of Richard D. Kinder is c/o Kinder Family Office, 2229 San Felipe, Suite 1700, Houston, TX 77019.
(20)
Scopus Asset Management, L.P. is the investment advisor for: Scopus Partners, L.P.; Scopus Partners II, L.P.; Scopus Vista Partners, L.P.; Scopus Fund Ltd.; and Scopus Vista Fund Ltd. Scopus Advisors, LLC is the general partner of Scopus Partners, L.P., Scopus Partners II, L.P. and Scopus Vista Partners, L.P. Scopus Capital, Inc. is the general partner of Scopus Asset Management, L.P. Alexander Mitchell holds 100% of the ownership interest of each of Scopus Capital, Inc. and Scopus Advisors, LLC. The address of each entity listed in this footnote and Mr. Mitchell is c/o Scopus Asset Management, L.P., 717 Fifth Ave, 21st FL, New York, NY 10022.
(21)
Senator Investment Group LP, or Senator, is investment manager of this Selling Securityholder and may be deemed to have voting and dispositive power with respect to the shares. The general partner of Senator is Senator Management LLC (the “Senator GP”). Douglas Silverman controls Senator GP and, accordingly, may be deemed to have voting and dispositive power with respect to the shares held by this Selling Securityholder. Mr. Silverman disclaims beneficial ownership of the shares held by this Selling Securityholder. The address of each entity listed in this footnote is 510 Madison Avenue, 28th Floor, New York, NY 10022.
(22)
Magnetar Financial LLC is the investment advisor of Series III, a series of Astrum Partners LLC. Alec Litowitz may be deemed to have investment discretion and voting power over Common Stock held by this Selling Securityholder. The address of Series III, a series of Astrum Partners LLC, is 1603 Orrington Avenue, 13th Floor, Evanston, IL 60201.
(23)
Van Eck Associates Corp. is the investment advisor for: Vaneck Global Hard Assets Fund and Vaneck VIP Global Hard Assets Fund. Van Eck Associates Corp. is the investment subadvisor for: Vaneck Global Natural Resources Portfolio, a Series of Brighthouse Funds Trust II. The address of each entity listed in this footnote is 666 Third Ave, 9th Floor, New York, NY 10017.
(24)
Yaupon Capital GP LLC (“Yaupon GP”) is the general partner of this Selling Securityholder and may be deemed to have voting and dispositive power with respect to the shares. Steve Pattyn is the managing member of Yaupon GP and, accordingly, may be deemed to have voting and dispositive power with respect to the shares held by this Selling Securityholder. Each of Yaupon GP and Steve Pattyn disclaim beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein. The address of Yaupon Master Fund LP is 104 W 40th Street, Suite 2020, New York, NY 10018.
(25)
The address of each director and officer of Stem, Inc. is 100 Rollins Road, Millbrae, CA 94030.
(26)
Includes (i) 208,100 shares of Common Stock and (ii) 4,005,923 shares of Common Stock underlying options to purchase Common Stock.
(27)
Includes (i) 257,207 shares of Common Stock and (ii) 966,148 shares of Common Stock underlying options to purchase Common Stock.