0001758766-21-000064.txt : 20210528 0001758766-21-000064.hdr.sgml : 20210528 20210528155054 ACCESSION NUMBER: 0001758766-21-000064 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210428 FILED AS OF DATE: 20210528 DATE AS OF CHANGE: 20210528 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUSH WILLIAM JOHN CENTRAL INDEX KEY: 0001241516 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39455 FILM NUMBER: 21979888 MAIL ADDRESS: STREET 1: 539 BRYANT STREET STREET 2: SUITE 403 CITY: SAN FRANCISCO STATE: CA ZIP: 94107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STEM, INC. CENTRAL INDEX KEY: 0001758766 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 264466193 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 ROLLINS ROAD CITY: MILLBRAE STATE: CA ZIP: 94030 BUSINESS PHONE: (415) 937-7836 MAIL ADDRESS: STREET 1: 100 ROLLINS ROAD CITY: MILLBRAE STATE: CA ZIP: 94030 FORMER COMPANY: FORMER CONFORMED NAME: Star Peak Energy Transition Corp. DATE OF NAME CHANGE: 20200714 FORMER COMPANY: FORMER CONFORMED NAME: Star Peak Energy Acquisition Corp. DATE OF NAME CHANGE: 20181119 FORMER COMPANY: FORMER CONFORMED NAME: Roaring Fork Acquisition Corp. DATE OF NAME CHANGE: 20181109 3 1 wf-form3_162223143486993.xml FORM 3 X0206 3 2021-04-28 0 0001758766 STEM, INC. STEM 0001241516 BUSH WILLIAM JOHN 100 ROLLINS ROAD MILLBRAE CA 94030 0 1 0 0 Chief Financial Officer Common Stock 257207 D Stock Option 1.67 2020-11-07 2027-05-30 Common Stock 255933.0 D Stock Option 2.41 2029-10-21 Common Stock 268630.0 D Stock Option 6.81 2020-12-03 2030-12-02 Common Stock 99608.0 D Stock Option 6.81 2030-12-02 Common Stock 341977.0 D 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. 25% of the shares underlying the option vest ratably over a four-year period, subject to the Reporting Person's continuous employment with the Issuer on each such date. William Bush 2021-05-28