0001758766-21-000206.txt : 20211119 0001758766-21-000206.hdr.sgml : 20211119 20211119182009 ACCESSION NUMBER: 0001758766-21-000206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211117 FILED AS OF DATE: 20211119 DATE AS OF CHANGE: 20211119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUSH WILLIAM JOHN CENTRAL INDEX KEY: 0001241516 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39455 FILM NUMBER: 211429707 MAIL ADDRESS: STREET 1: 539 BRYANT STREET STREET 2: SUITE 403 CITY: SAN FRANCISCO STATE: CA ZIP: 94107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STEM, INC. CENTRAL INDEX KEY: 0001758766 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] 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 wf-form4_163736399098506.xml FORM 4 X0306 4 2021-11-17 0 0001758766 STEM, INC. STEM 0001241516 BUSH WILLIAM JOHN 100 CALIFORNIA STREET 14TH FLOOR SAN FRANCISCO CA 94111 0 1 0 0 Chief Financial Officer Common Stock, Par Value $0.0001 Per Share 2021-11-17 4 S 0 11056 22.01 D 309191 D Common Stock, Par Value $0.0001 Per Share 2021-11-17 4 S 0 1400 22.6904 D 307791 D The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 31, 2021. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $21.47 to $22.46. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $22.47 to $23.22. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ William Bush 2021-11-19