DAVID S. BUZBY - 28 Apr 2021 Form 3 Insider Report for STEM, INC. (STEM)

Role: Director
Signature: David Buzby by William Bush, Attorney-in-Fact
Issuer symbol: STEM
Transactions as of: 28 Apr 2021
Transactions value $: $0
Form type: 3
Filing time: 25 May 2021, 17:46:50 UTC
Next filing: 06 Jul 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	STEM	Common Stock						453K	28 Apr 2021	Direct
holding	STEM	Common Stock						89.7K	28 Apr 2021	Held by the David S. Buzby Revocable Trust	F1

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							28 Apr 2021	Common Stock	33K	$1.25	Direct
holding	STEM	Stock Option							28 Apr 2021	Common Stock	27.6K	$1.25	Direct
holding	STEM	Stock Option							28 Apr 2021	Common Stock	190K	$2.27	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	David Buzby, sole trustee of the David S. Buzby Revocable Trust, exercises beneficial ownership of shares held by the David S. Buzby Revocable Trust.
F2	Granted November 1, 2018, vesting commencement date of January 1, 2018, 25% vested and exercisable on first anniversary date of vesting commencement date, then an additional 1/48th vested and exercisable on each monthly anniversary thereafter, subject to continuing service on each vesting date.