0001758766-21-000131.txt : 20210709 0001758766-21-000131.hdr.sgml : 20210709 20210709191601 ACCESSION NUMBER: 0001758766-21-000131 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210707 FILED AS OF DATE: 20210709 DATE AS OF CHANGE: 20210709 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUZBY DAVID S CENTRAL INDEX KEY: 0001244203 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39455 FILM NUMBER: 211083960 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 CALIFORNIA STREET, 14TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: (415) 937-7836 MAIL ADDRESS: STREET 1: 100 CALIFORNIA STREET, 14TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 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 4 1 wf-form4_162587253417624.xml FORM 4 X0306 4 2021-07-07 0 0001758766 STEM, INC. STEM 0001244203 BUZBY DAVID S 100 CALIFORNIA STREET 14TH FLOOR SAN FRANCISCO CA 94111 1 0 0 0 Common Stock, Par Value $0.0001 Per Share 2021-07-07 4 M 0 32978 1.25 A 486280 D Common Stock, Par Value $0.0001 Per Share 2021-07-07 4 F 0 1209 34.11 D 485071 D Common Stock, Par Value $0.0001 Per Share 2021-07-07 4 M 0 27596 1.25 A 512667 D Common Stock, Par Value $0.0001 Per Share 2021-07-07 4 F 0 1012 34.11 D 511655 D Common Stock, Par Value $0.0001 Per Share 2021-07-07 4 M 0 166018 2.27 A 677673 D Common Stock, Par Value $0.0001 Per Share 2021-07-07 4 F 0 11049 34.11 D 666624 D Common Stock, Par Value $0.0001 Per Share 89684 I By the David S. Buzby Revocable Trust Stock Option (Right to Buy) 1.25 2021-07-07 4 M 0 32978 0 D 2019-01-01 2025-07-20 Common Stock, Par Value $0.0001 Per Share 32978.0 217330 D Stock Option (Right to Buy) 1.25 2021-07-07 4 M 0 27596 0 D 2019-10-28 2025-10-27 Common Stock, Par Value $0.0001 Per Share 27596.0 189734 D Stock Option (Right to Buy) 2.27 2021-07-07 4 M 0 166018 0 D 2019-01-01 2028-10-31 Common Stock, Par Value $0.0001 Per Share 166018.0 23716 D Held by the David S. Buzby Revocable Trust, of which the reporting person is sole trustee. These options vested 25% on January 1, 2019, and the remaining options vested in equal monthly installments thereafter. These options will vest in equal monthly installments through January 1, 2022. /s/ William Bush, Attorney-in-Fact 2021-07-09