Statement of Changes in Beneficial Ownership (4)
November 01 2021 - 06:06PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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
|
|
| 1. Name
and Address of Reporting Person *
Triplett Mark William |
2. Issuer Name and Ticker or Trading
Symbol STEM, INC. [ STEM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Operating Officer |
|
(Last)
(First)
(Middle)
100 CALIFORNIA STREET, 14TH FLOOR |
3. Date of Earliest Transaction (MM/DD/YYYY)
10/28/2021
|
|
(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
|
4. 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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock, Par Value $0.0001 Per
Share |
10/28/2021 |
|
S(1) |
|
3900 |
D |
$23.1451 (2) |
46901 |
D |
|
|
Common Stock, Par Value $0.0001 Per
Share |
10/28/2021 |
|
S(1) |
|
800 |
D |
$24.1378 (3) |
46101 |
D |
|
|
Common Stock, Par Value $0.0001 Per
Share |
10/28/2021 |
|
S(1) |
|
200 |
D |
$25.42 (4) |
45901 |
D |
|
|
Common Stock, Par Value $0.0001 Per
Share |
10/28/2021 |
|
S(1) |
|
100 |
D |
$26.75 |
45801 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of
Responses: |
| (1) |
The sale reported in the
Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted
by the Reporting Person on August 26, 2021. |
| (2) |
The price reported is a
weighted average price. The shares were sold in multiple
transactions at per share prices ranging from $22.70 to $23.68. 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. |
| (3) |
The price reported is a
weighted average price. The shares were sold in multiple
transactions at per share prices ranging from $23.75 to $24.45. 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. |
| (4) |
The price reported is a
weighted average price. The shares were sold in multiple
transactions at per share prices ranging from $25.00 to $25.84. 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. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Triplett Mark William
100 CALIFORNIA STREET
14TH FLOOR
SAN FRANCISCO, CA 94111 |
|
|
Chief Operating Officer |
|
Signatures
|
|
/s/ William Bush,
Attorney-in-Fact |
|
11/1/2021 |
| **Signature of
Reporting Person |
Date |
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