0001758766-24-000136.txt : 20240610 0001758766-24-000136.hdr.sgml : 20240610 20240610161415 ACCESSION NUMBER: 0001758766-24-000136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240607 FILED AS OF DATE: 20240610 DATE AS OF CHANGE: 20240610 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MORGAN MICHAEL C CENTRAL INDEX KEY: 0001250209 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39455 FILM NUMBER: 241032853 MAIL ADDRESS: STREET 1: 1001 LOUISIANA STREET 2: SUITE 1000 CITY: HOUSTON STATE: TX ZIP: 77002 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 1 wk-form4_1718050446.xml FORM 4 X0508 4 2024-06-07 0 0001758766 STEM, INC. STEM 0001250209 MORGAN MICHAEL C 100 CALIFORNIA STREET 14TH FLOOR SAN FRANCISCO CA 94111 1 0 0 0 0 Common Stock, Par Value $0.0001 Per Share 2024-06-07 4 M 0 23489 0 A 43987 D Common Stock, Par Value $0.0001 Per Share 1178937 I Held by Portcullis Investments, LP Common Stock, Par Value $0.0001 Per Share 50000 I Held by Portcullis Partners, LP Common Stock, Par Value $0.0001 Per Share 547705 I By Trust Common Stock, Par Value $0.0001 Per Share 37500 I By Trust Common Stock, Par Value $0.0001 Per Share 37500 I By Trust Restricted Stock Unit 0 2024-06-07 4 M 0 23489 0 D Common Stock, Par Value $0.0001 Per Share 23489 110236 D The reporting person serves as Manager of the general partner, Portcullis G.P., LLC, for, and he and his spouse indirectly hold interests in, Portcullis Investments, L.P. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. The reporting person serves as Manager of the general partner, Portcullis G.P., LLC, for, and he and his spouse indirectly hold interests in, Portcullis Partners, L.P. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Held by a trust of which the reporting person is a trustee. Held by a family trust (C GST) of which the reporting person is an investment adviser. Held by a family trust (M GST) of which the reporting person is an investment adviser. On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024. /s/ Chen Zhang, attorney-in-fact 2024-06-10