0001758766-24-000084.txt : 20240430 0001758766-24-000084.hdr.sgml : 20240430 20240430172218 ACCESSION NUMBER: 0001758766-24-000084 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240428 FILED AS OF DATE: 20240430 DATE AS OF CHANGE: 20240430 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Patel Prakesh CENTRAL INDEX KEY: 0001863629 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39455 FILM NUMBER: 24898665 MAIL ADDRESS: STREET 1: 100 ROLLINS ROAD CITY: MILLBRAE STATE: CA ZIP: 94030 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_1714512126.xml FORM 4 X0508 4 2024-04-28 0 0001758766 STEM, INC. STEM 0001863629 Patel Prakesh 100 CALIFORNIA STREET 14TH FLOOR SAN FRANCISCO CA 94111 0 1 0 0 Chief Strategy Officer 0 Common Stock, Par Value $0.0001 Per Share 2024-04-28 4 M 0 65000 0 A 202078 D Common Stock, Par Value $0.0001 Per Share 2024-04-28 4 M 0 3453 0 A 205531 D Common Stock, Par Value $0.0001 Per Share 2024-04-30 4 S 0 23863 1.87 D 181668 D Restricted Stock Unit 0 2024-04-28 4 M 0 3453 0 D Common Stock, Par Value $0.0001 Per Share 3453 168947 D Restricted Stock Unit 0 2024-04-28 4 M 0 65000 0 D Common Stock, Par Value $0.0001 Per Share 65000 103947 D Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. On July 2, 2021, the reporting person was granted 13,812 RSUs vesting in four equal annual installments beginning on April 28, 2022. On July 2, 2021, the reporting person was granted 65,000 RSUs vesting 100% on April 28, 2024. /s/ Chen Zhang, attorney-in-fact 2024-04-30