larsh Johnson - 28 Apr 2021 Form 3 Insider Report for STEM, INC. (STEM)

Role: Chief Technical Officer
Signature: Larsh Johnson by William Bush, Attorney-in-Fact
Issuer symbol: STEM
Transactions as of: 28 Apr 2021
Transactions value $: $0
Form type: 3
Filing time: 28 May 2021, 13:12:32 UTC
Next filing: 02 Jun 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						150,758	28 Apr 2021	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	Stock Option							28 Apr 2021	Common Stock	353,512	$1.67	Direct
holding	STEM	Stock Option							28 Apr 2021	Common Stock	278,536	$2.41	Direct	F1
holding	STEM	Stock Option							28 Apr 2021	Common Stock	90,455	$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.