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U.S. Securities and Exchange Commission


Patel Prakesh (0001863629)
Mailing Address
100 ROLLINS ROAD
MILLBRAE CA 94030
Ownership Reports for Issuers: (Click on issuer name to see other owners for the issuer, or CIK for issuer filings.)

Issuer Filings Transaction Date Type of Owner
STEM, INC. 0001758766 2021-04-28 officer: Chief Strategy Officer


Items 1 - 44

The information presented below contains only portions of the information presented in the referenced filing or filings.
You should consult the original filing for complete information. Hyperlinks to the forms are provided for your convenience.

Acquistion or Disposition Transaction Date Deemed Execution Date Issuer Form Transaction Type Direct or Indirect Ownership Number of Securities Transacted Number of Securities Owned Line Number Issuer CIK Security Name
A 2024-05-28   STEM, INC. 4 A-Award --D 125000.0000 228947.0000 1 0001758766 Restricted Stock Unit
D 2024-04-30   STEM, INC. 4 S-Sale --D 23863.0000 181668.0000 3 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2024-04-28   STEM, INC. 4 M-Exempt --D 65000.0000 103947.0000 5 0001758766 Restricted Stock Unit
D 2024-04-28   STEM, INC. 4 M-Exempt --D 3453.0000 168947.0000 4 0001758766 Restricted Stock Unit
A 2024-04-28   STEM, INC. 4 M-Exempt --D 3453.0000 205531.0000 2 0001758766 Common Stock, Par Value $0.0001 Per Share
A 2024-04-28   STEM, INC. 4 M-Exempt --D 65000.0000 202078.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2024-03-08   STEM, INC. 4 S-Sale --D 35902.0000 137078.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2024-03-04   STEM, INC. 4 S-Sale --D 7153.0000 172980.0000 3 0001758766 Common Stock, Par Value $0.0001 Per Share
A 2024-03-01   STEM, INC. 4 M-Exempt --D 16747.0000 102825.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
A 2024-03-01   STEM, INC. 4 A-Award --D 77308.0000 180133.0000 2 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2024-03-01   STEM, INC. 4 M-Exempt --D 16747.0000 172400.0000 4 0001758766 Restricted Stock Unit
D 2024-02-16   STEM, INC. 4 S-Sale --D 14389.0000 86078.0000 2 0001758766 Common Stock, Par Value $0.0001 Per Share
A 2024-02-15   STEM, INC. 4 A-Award --D 64320.0000 64320.0000 4 0001758766 Stock Option (Right to Buy)
D 2024-02-15   STEM, INC. 4 M-Exempt --D 33000.0000 189147.0000 3 0001758766 Restricted Stock Unit
A 2024-02-15   STEM, INC. 4 M-Exempt --D 33000.0000 100467.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2023-05-01   STEM, INC. 4 S-Sale --D 1260.0000 67467.0000 2 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2023-04-28   STEM, INC. 4 M-Exempt --D 3453.0000 222147.0000 3 0001758766 Restricted Stock Unit
A 2023-04-28   STEM, INC. 4 M-Exempt --D 3453.0000 68727.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2023-03-01   STEM, INC. 4 M-Exempt --D 16747.0000 225600.0000 3 0001758766 Restricted Stock Unit
D 2023-03-01   STEM, INC. 4 S-Sale --D 6888.0000 65274.0000 2 0001758766 Common Stock, Par Value $0.0001 Per Share
A 2023-03-01   STEM, INC. 4 M-Exempt --D 16747.0000 72162.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
A 2023-02-15   STEM, INC. 4 A-Award --D 129183.0000 129183.0000 2 0001758766 Stock Option (Right to Buy)
A 2023-02-15   STEM, INC. 4 A-Award --D 100000.0000 242347.0000 1 0001758766 Restricted Stock Unit
D 2022-05-10   STEM, INC. 4 S-Sale --D 1269.0000 55415.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2022-04-28   STEM, INC. 4 M-Exempt --D 3453.0000 142347.0000 2 0001758766 Restricted Stock Unit
A 2022-04-28   STEM, INC. 4 M-Exempt --D 3453.0000 56684.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
A 2022-03-01   STEM, INC. 4 A-Award --D 66988.0000 145800.0000 2 0001758766 Restricted Stock Unit
A 2022-03-01   STEM, INC. 4 A-Award --D 104668.0000 865720.0000 1 0001758766 Stock Option (Right to Buy)
D 2021-11-11   STEM, INC. 4 S-Sale --D 5000.0000 53231.0000 3 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2021-11-11   STEM, INC. 4 S-Sale --D 25000.0000 58231.0000 2 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2021-11-10   STEM, INC. 4 S-Sale --D 90000.0000 83231.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2021-10-27   STEM, INC. 4 M-Exempt --D 43073.0000 781680.0000 4 0001758766 Stock Option (Right to Buy)
A 2021-10-27   STEM, INC. 4 A-Award --D 180000.0000 180000.0000 1 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2021-10-27   STEM, INC. 4 F-InKind --D 6769.0000 173231.0000 2 0001758766 Common Stock, Par Value $0.0001 Per Share
D 2021-10-27   STEM, INC. 4 M-Exempt --D 116299.0000 824753.0000 3 0001758766 Stock Option (Right to Buy)
D 2021-10-27   STEM, INC. 4 M-Exempt --D 20628.0000 761052.0000 5 0001758766 Stock Option (Right to Buy)
A 2021-07-02   STEM, INC. 4 A-Award --D 13812.0000 78812.0000 2 0001758766 Restricted Stock Unit
A 2021-07-02   STEM, INC. 4 A-Award --D 65000.0000 65000.0000 1 0001758766 Restricted Stock Unit
A 2021-05-28   STEM, INC. 4 A-Award --D 34530.0000 941052.0000 1 0001758766 Stock Option (Right to Buy)
- -   STEM, INC. 3 - --D 1 0001758766 Stock Option
- -   STEM, INC. 3 - --D 5 0001758766 Stock Option
- -   STEM, INC. 3 - --D 4 0001758766 Stock Option
- -   STEM, INC. 3 - --D 3 0001758766 Stock Option
- -   STEM, INC. 3 - --D 2 0001758766 Stock Option

http://www.sec.gov/cgi-bin/own-disp

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Modified: 04/22/2016