Prakesh Patel - Apr 28, 2021 Form 3 Insider Report for STEM, INC. (STEM)

Role
Chief Strategy Officer
Signature
Prakesh Patel by William Bush, Attorney-in-Fact
Stock symbol
STEM
Transactions as of
Apr 28, 2021
Transactions value $
$0
Form type
3
Date filed
5/28/2021, 03:46 PM
Next filing
Jun 2, 2021

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding STEM Stock Option Apr 28, 2021 Common Stock 159K $0.97 Direct
holding STEM Stock Option Apr 28, 2021 Common Stock 52.8K $1.25 Direct
holding STEM Stock Option Apr 28, 2021 Common Stock 303K $1.25 Direct
holding STEM Stock Option Apr 28, 2021 Common Stock 292K $2.41 Direct F1
holding STEM Stock Option Apr 28, 2021 Common Stock 99.6K $6.81 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 25% of the shares underlying the option vest on the first anniversary date, and the remaining shares underlying the option vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date.