Rajiv Rai - 30 Sep 2022 Form 4 Insider Report for Stem Holdings, Inc. (STMH)

Role
Director
Signature
/s/ Rajiv Rai
Issuer symbol
STMH
Transactions as of
30 Sep 2022
Net transactions value
+$121,596
Form type
4
Filing time
08 Sep 2023, 17:00:49 UTC

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction STMH Common Stock Award $65,096 +2,169,853 $0.0300 2,169,853 30 Sep 2022 Direct
transaction STMH Common Stock Award $3,250 +162,500 +7.5% $0.0200 2,332,353 01 Dec 2022 Direct
transaction STMH Common Stock Award $3,250 +162,500 +7% $0.0200 2,494,853 19 Jul 2022 Direct
transaction STMH Common Stock Award $50,000 +5,000,000 +200% $0.0100 7,494,853 30 Jun 2023 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).