0001758766-24-000130.txt : 20240610
0001758766-24-000130.hdr.sgml : 20240610
20240610161300
ACCESSION NUMBER: 0001758766-24-000130
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230620
FILED AS OF DATE: 20240610
DATE AS OF CHANGE: 20240610
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BUZBY DAVID S
CENTRAL INDEX KEY: 0001244203
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39455
FILM NUMBER: 241032826
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: STEM, INC.
CENTRAL INDEX KEY: 0001758766
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
ORGANIZATION NAME: 04 Manufacturing
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/A
1
wk-form4a_1718050371.xml
FORM 4/A
X0508
4/A
2023-06-20
2024-03-18
0
0001758766
STEM, INC.
STEM
0001244203
BUZBY DAVID S
100 CALIFORNIA STREET
14TH FLOOR
SAN FRANCISCO
CA
94111
1
0
0
0
0
Common Stock, Par Value $0.0001 Per Share
2023-06-20
4
G
0
20498
0
D
0
D
Common Stock, Par Value $0.0001 Per Share
2023-06-20
4
G
0
20498
0
A
641209
I
By the David S. Buzby Revocable Trust
Common Stock, Par Value $0.0001 Per Share
2024-03-15
4
P
0
62500
1.84
A
62500
D
Common Stock, Par Value $0.0001 Per Share
2024-03-18
4
P
0
33800
1.81
A
96300
D
On June 20, 2023, the reporting person transferred 20,498 shares of common stock to the 2016 David S. Buzby Revocable Trust (of which the reporting person is sole trustee) for no consideration.
Held by the 2016 David S. Buzby Revocable Trust, of which the reporting person is sole trustee.
The Form 4 filed on March 18, 2024 incorrectly reported that, following the reporting person's purchase of 62,500 shares of common stock on March 15, 2024, he owned 734,648 shares of common stock. In fact, as reported in this amendment, the reporting person directly owned 62,500 shares after such transaction.
The Form 4 filed on March 20, 2024 incorrectly reported that, following the reporting person's purchase of 33,800 shares of common stock on March 18, 2024, he directly owned 768,448 shares of common stock. In fact, as reported in this amendment, the reporting person directly owned 96,300 shares after such transaction.
/s/ Chen Zhang, attorney-in-fact
2024-06-10