MORGAN MICHAEL C 4

4 · STEM, INC. · Filed Jun 10, 2024

Form 4

Period: 2024-06-07

Director10% Owner

Transactions

Exercise/Conversion
Common Stock, Par Value $0.0001 Per Share
2024-06-07+23,489→ 43,987 total
Exercise/Conversion
Restricted Stock Unit
2024-06-07−23,489→ 110,236 total
Exercise: $0.00→ Common Stock, Par Value $0.0001 Per Share (23,489 underlying)

Holdings

Common Stock, Par Value $0.0001 Per Share
(indirect: Held by Portcullis Investments, LP)
1,178,937
Common Stock, Par Value $0.0001 Per Share
(indirect: By Trust)
37,500
Common Stock, Par Value $0.0001 Per Share
(indirect: By Trust)
547,705
Common Stock, Par Value $0.0001 Per Share
(indirect: Held by Portcullis Partners, LP)
50,000
Common Stock, Par Value $0.0001 Per Share
(indirect: By Trust)
37,500

Footnotes (6)

[F1]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.
[F2]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.
[F3]Held by a trust of which the reporting person is a trustee.
[F4]Held by a family trust (C GST) of which the reporting person is an investment adviser.
[F5]Held by a family trust (M GST) of which the reporting person is an investment adviser.
[F6]On June 7, 2023, the reporting person was granted 23,489 RSUs vesting 100% on June 7, 2024.

Documents

1 file