Hofeldt Albert - Oct 23, 2024 Form 3/A - Amendment Insider Report for STEM, INC. (STEM)

Role
Chief Technology Officer
Signature
/s/ Saul R. Laureles, attorney-in-fact
Stock symbol
STEM
Transactions as of
Oct 23, 2024
Transactions value $
$0
Form type
3/A - Amendment
Date filed
2/21/2025, 08:44 PM
Date Of Original Report
Oct 30, 2024
Next filing
Nov 1, 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding STEM Common Stock, Par Value $0.0001 Per Share 152K Oct 23, 2024 Direct

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 Restricted Stock Unit Oct 23, 2024 Common Stock, Par Value $0.0001 Per Share 43K $0.00 Direct F1
holding STEM Restricted Stock Unit Oct 23, 2024 Common Stock, Par Value $0.0001 Per Share 94.3K $0.00 Direct F2
holding STEM Restricted Stock Unit Oct 23, 2024 Common Stock, Par Value $0.0001 Per Share 111K $0.00 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On July 27, 2022, the reporting person was granted 85,910 RSUs vesting in four annual installments beginning July 2023.
F2 On May 9, 2023, the reporting person was granted 141,414 RSUs vesting in three annual installments beginning February 2024.
F3 On February 15, 2024, the reporting person was granted 111,276 RSUs vesting in three annual installments beginning March 2025.

Remarks:

This Form 3/A is being filed to (i) report the ownership of shares of common stock in Table I and (ii) report the ownership of derivative securities in Table II, which were inadvertently omitted in the original Form 3.