Statement of Changes in Beneficial Ownership (4)
December 02 2021 - 06:41PM
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
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APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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 * Daley
Adam |
2. Issuer Name and Ticker or Trading
Symbol STEM, INC. [ STEM ] |
5. 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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|
(Last)
(First)
(Middle)
100 CALIFORNIA STREET, 14TH FLOOR |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/30/2021
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|
(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
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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 |
11/30/2021 |
|
J(1) |
|
10051 |
A |
$0 |
442776 (2) |
I |
By Daley Revocable Trust (3) |
|
Common Stock, Par Value $0.0001 Per
Share |
11/30/2021 |
|
J(4) |
|
13865 |
A |
$0 |
101249 (5) |
D |
|
|
Common Stock, Par Value $0.0001 Per
Share |
12/1/2021 |
|
S |
|
100000 (6) |
D |
$21.1348 |
342776 (7) |
I |
By Daley Revocable Trust (3) |
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Common Stock, Par Value $0.0001 Per
Share |
12/2/2021 |
|
S |
|
100000 (6) |
D |
$19.8179 |
242776 (7) |
I |
By Daley Revocable Trust (3) |
|
Common Stock, Par Value $0.0001 Per
Share |
|
|
|
|
|
|
|
246251 |
I |
By Daley Investment Trust (8) |
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 shares of common stock
reported herein give effect to a pro rata distribution of Issuer
common stock from Star Peak Sponsor LLC (the "Sponsor") and its
affiliates to members of the Sponsor, including the reporting
person, for no additional consideration (the
"Distribution"). |
| (2) |
Represents number of shares
beneficially owned by Daley Revocable Trust after giving effect to
the Distribution. |
| (3) |
Held by Daley Revocable
Trust, of which the reporting person is a trustee. |
| (4) |
The shares of common stock
reported herein give effect to the Distribution. |
| (5) |
Represents number of shares
directly and beneficially owned by the reporting person after
giving effect to the Distribution. |
| (6) |
Sale effected pursuant to a
Rule 10b5-1 trading plan adopted by the reporting person on August
24, 2021. |
| (7) |
Represents number of shares
beneficially owned by Daley Revocable Trust after giving effect to
sale pursuant to the reporting person's 10b5-1 trading
plan. |
| (8) |
Held by the Daley Investment
Trust, of which the reporting person is a trustee. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Daley Adam
100 CALIFORNIA STREET
14TH FLOOR
SAN FRANCISCO, CA 94111 |
X |
|
|
|
Signatures
|
|
/s/ William Bush,
Attorney-in-Fact |
|
12/2/2021 |
| **Signature of
Reporting Person |
Date |
Stem (NYSE:STEM)
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