0001758766-24-000082.txt : 20240430 0001758766-24-000082.hdr.sgml : 20240430 20240430172142 ACCESSION NUMBER: 0001758766-24-000082 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: Carrington John Eugene CENTRAL INDEX KEY: 0001434884 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39455 FILM NUMBER: 24898658 MAIL ADDRESS: STREET 1: 350 WEST WASHINGTON STREET STREET 2: SUITE 600 CITY: TEMPE STATE: AZ ZIP: 85281 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_1714512077.xml FORM 4 X0508 4 2024-04-28 0 0001758766 STEM, INC. STEM 0001434884 Carrington John Eugene 100 CALIFORNIA STREET 14TH FLOOR SAN FRANCISCO CA 94111 1 1 0 0 CEO and Director 0 Common Stock, Par Value $0.0001 Per Share 2024-04-28 4 M 0 428572 0 A 690890 D Common Stock, Par Value $0.0001 Per Share 2024-04-28 4 M 0 9866 0 A 700756 D Restricted Stock Unit 0 2024-04-28 4 M 0 428572 0 D Common Stock, Par Value $0.0001 Per Share 428572 715278 D Restricted Stock Unit 0 2024-04-28 4 M 0 9866 0 D Common Stock, Par Value $0.0001 Per Share 9866 705412 D On July 2, 2021, the reporting person was granted 1,000,000 RSUs vesting as follows: 3/7th (428,572 RSUs) vesting on April 28, 2024, and 1/7th (142,857 RSUs) vesting on each anniversary thereafter. On July 2, 2021, the reporting person was granted 39,463 RSUs vesting in four equal annual installments beginning on April 28, 2022. /s/ Chen Zhang, attorney-in-fact 2024-04-30