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