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